DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Compass Planning Associates, Inc.

Independent wealth managerCRD 128014SEC 801-129110websiteIAPD
Latest filing Feb 18, 2026
First filing on the tape Oct 26, 2023 · 9 filings
SEC status approved since Nov 28, 2023
RAUM
$214M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$214M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$214M as of Feb 18, 2026
Mar 25, 2024$139M then
HNW client RAUM$209M as of Feb 18, 2026
Mar 25, 2024$134M then
State-registered IARs (5.B.3)3 as of Feb 18, 2026
Mar 25, 20244 then
Employees (5.A)3 as of Feb 18, 2026
Mar 25, 20244 then
Private funds: no history
RAUM +7.2% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$71.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$642,461derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+7.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.4%derived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$209M98%
  • Individuals$4.9M2.3%
Individual clients
6reported
HNW clients
66reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
333reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Jennifer Potter LaneCertified Financial PlannerGreenfield, MaFeb 23, 200332 y0
Sarah M StampCertified Financial PlannerLongmont, Co Feb 9, 201818 y2
Joshua Edward WeissGreenfield, Ma Mar 26, 202012 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Potter Jennifer Lane · President / Ccocontrol
    since 01/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Greenfield, Ma300
Tigard, Or000
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 323 to 333
    Jan 5, 2026 to Feb 18, 2026
  • HNW clients · 67 to 66
    Jan 5, 2026 to Feb 18, 2026
  • Discretionary RAUM · $184M to $197M
    Jan 5, 2026 to Feb 18, 2026
  • HNW RAUM · $195M to $209M
    Jan 5, 2026 to Feb 18, 2026
  • Individual RAUM · $4.2M to $4.9M
    Jan 5, 2026 to Feb 18, 2026
  • Non-discretionary RAUM · $16.0M to $17.1M
    Jan 5, 2026 to Feb 18, 2026
  • RAUM · $200M to $214M
    Jan 5, 2026 to Feb 18, 2026
  • Accounts · 302 to 323
    Nov 14, 2024 to Feb 27, 2025
  • Advisory employees · 4 to 3
    Nov 14, 2024 to Feb 27, 2025
  • HNW clients · 51 to 67
    Nov 14, 2024 to Feb 27, 2025
  • Individual clients · 11 to 6
    Nov 14, 2024 to Feb 27, 2025
  • Employees · 4 to 3
    Nov 14, 2024 to Feb 27, 2025
  • Financial planning clients · More than 500 to More than 500
    Nov 14, 2024 to Feb 27, 2025
  • HQ city · unset to
    Nov 14, 2024 to Feb 27, 2025
  • HQ state · unset to
    Nov 14, 2024 to Feb 27, 2025
  • State-registered IARs · 4 to 3
    Nov 14, 2024 to Feb 27, 2025
  • Discretionary RAUM · $138M to $184M
    Nov 14, 2024 to Feb 27, 2025
  • HNW RAUM · $134M to $195M
    Nov 14, 2024 to Feb 27, 2025
  • Individual RAUM · $5.1M to $4.2M
    Nov 14, 2024 to Feb 27, 2025
  • Non-discretionary RAUM · $1.0M to $16.0M
    Nov 14, 2024 to Feb 27, 2025
  • RAUM · $139M to $200M
    Nov 14, 2024 to Feb 27, 2025
  • Other offices · 3 to 2
    Mar 25, 2024 to Oct 22, 2024
  • Accounts · 327 to 302
    Jan 2, 2024 to Mar 25, 2024
  • Advisory employees · 5 to 4
    Jan 2, 2024 to Mar 25, 2024
  • HNW clients · 46 to 51
    Jan 2, 2024 to Mar 25, 2024
  • Individual clients · 13 to 11
    Jan 2, 2024 to Mar 25, 2024
  • Employees · 5 to 4
    Jan 2, 2024 to Mar 25, 2024
  • State-registered IARs · 5 to 4
    Jan 2, 2024 to Mar 25, 2024
  • Other offices · 4 to 3
    Jan 2, 2024 to Mar 25, 2024
  • Discretionary RAUM · $0 to $138M
    Jan 2, 2024 to Mar 25, 2024
  • HNW RAUM · $111M to $134M
    Jan 2, 2024 to Mar 25, 2024
  • Individual RAUM · $7.4M to $5.1M
    Jan 2, 2024 to Mar 25, 2024
  • Non-discretionary RAUM · $118M to $1.0M
    Jan 2, 2024 to Mar 25, 2024
  • RAUM · $118M to $139M
    Jan 2, 2024 to Mar 25, 2024
Signals
2 dated events
  • Dawn Torres-Gale left Compass Planning Associates, Inc. for Plancorp, Llc (registered 2024-06-13)
    Dec 4, 2023 · Advisor changed firm · fact
  • Compass Planning Associates, Inc. filed its initial SEC registration (Form ADV)
    Oct 26, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Business phone
888-320-9993reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
617-523-4666reportedpublished by the firm, firm site, Sep 16, 2026
Website
COMPASSPLANNING.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
617-523-4666reportedpublic record, Form ADV, Feb 18, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$71.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026