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.
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SEC-registered adviser
C•••••• F•••••••• G••••• I•••
Latest filing Feb 9, 2026
First filing on the tape Jun 18, 2024 · 4 filings
SEC status approved since Jul 17, 2024
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$149M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$149M as of Feb 9, 2026
Feb 3, 2025$128M then
HNW client RAUM$126M as of Feb 9, 2026
Feb 3, 2025$101M then
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Feb 3, 20252 then
Employees (5.A)4 as of Feb 9, 2026
Feb 3, 20254 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $74.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $941,731derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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$126M84%
- Individuals$23.1M16%
- Individual clients
- 57reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 158reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••• M••••• | Dublin, Oh | Oct 5, 2004 | 29 y | 0 |
| G•••••• R• J••••••Certified Financial Planner | Dublin, Oh | Aug 12, 2014 | 13 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M•••• A••• · President And Chief Compliance Officercontrolsince 03/2004 · owns 75% or more
- J••••••• G••••••• R• · Financial Advisorsince 08/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 9, 2026custody of client assets (Item 9.A): yes on the filing of 2025-02-03, no on the filing of 2026-02-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 151 to 158Feb 3, 2025 to Feb 9, 2026
- HNW clients · 99 to 101Feb 3, 2025 to Feb 9, 2026
- Individual clients · 52 to 57Feb 3, 2025 to Feb 9, 2026
- Assets in custody · 21000000.0 to unsetFeb 3, 2025 to Feb 9, 2026
- Custody of client assets · true to falseFeb 3, 2025 to Feb 9, 2026
- Discretionary RAUM · $128M to $149MFeb 3, 2025 to Feb 9, 2026
- HNW RAUM · $101M to $126MFeb 3, 2025 to Feb 9, 2026
- Individual RAUM · $26.9M to $23.1MFeb 3, 2025 to Feb 9, 2026
- RAUM · $128M to $149MFeb 3, 2025 to Feb 9, 2026
- Accounts · 448 to 151Sep 13, 2024 to Feb 3, 2025
- HNW clients · 98 to 99Sep 13, 2024 to Feb 3, 2025
- Individual clients · 49 to 52Sep 13, 2024 to Feb 3, 2025
- Assets in custody · unset to 21000000.0Sep 13, 2024 to Feb 3, 2025
- Custody of client assets · false to trueSep 13, 2024 to Feb 3, 2025
- Financial planning clients · 0 to 0Sep 13, 2024 to Feb 3, 2025
- Discretionary RAUM · $115M to $128MSep 13, 2024 to Feb 3, 2025
- HNW RAUM · $102M to $101MSep 13, 2024 to Feb 3, 2025
- Individual RAUM · $13.0M to $26.9MSep 13, 2024 to Feb 3, 2025
- RAUM · $115M to $128MSep 13, 2024 to Feb 3, 2025
Signals
1 dated events
- C•••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jun 18, 2024 · 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 email
- jalbert@compassfg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sporter@compassfg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 937-898-5010reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-401-8095reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-791-0093reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••FG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-791-0093reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- compassfg.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- compassfg.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $74.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026