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 Investment Advisers, LLC
Latest filing Mar 3, 2026
First filing on the tape Sep 10, 2024 · 5 filings
SEC status approved since Oct 10, 2024
RAUM
$111M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
99%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$111M as of Mar 3, 2026
Mar 20, 2025$103M then
HNW client RAUM$81.9M as of Mar 3, 2026
Mar 20, 2025$69.3M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 20, 20252 then
Employees (5.A)2 as of Mar 3, 2026
Mar 20, 20252 then
Private funds: no history
RAUM +7.2% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 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
- $55.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $458,581derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- 2.0derived1 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
- +5.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.4M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$81.9M75%
- Individuals$27.9M25%
- Individual clients
- 47reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 241reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeannie Esther Matza | Portland, Or | Jan 10, 2021 | 27 y | 3 |
| Paul Francis Vermilya | Portland, Or | Sep 13, 2024 | 32 y | 2 |
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
- Paul Francis Vermilya from Coldstream Wealth ManagementSep 13, 2024 · Other
- Jeannie Esther Matza from Directional Financial ServicesJan 10, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Francis Paul Vermilya · Managing Member; Chief Compliance Officercontrolsince 05/2004 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 247 to 241Nov 5, 2025 to Feb 17, 2026
- Charity clients · 0.0 to unsetNov 5, 2025 to Feb 17, 2026
- Corporate clients · 0.0 to unsetNov 5, 2025 to Feb 17, 2026
- HNW clients · 20 to 25Nov 5, 2025 to Feb 17, 2026
- Individual clients · 48 to 47Nov 5, 2025 to Feb 17, 2026
- Pension plan clients · 0.0 to unsetNov 5, 2025 to Feb 17, 2026
- Pooled vehicle clients · 0.0 to unsetNov 5, 2025 to Feb 17, 2026
- Assets in custody · unset to 2377077.0Nov 5, 2025 to Feb 17, 2026
- Custody of client assets · false to trueNov 5, 2025 to Feb 17, 2026
- Discretionary RAUM · $96.1M to $104MNov 5, 2025 to Feb 17, 2026
- HNW RAUM · $69.3M to $81.9MNov 5, 2025 to Feb 17, 2026
- Individual RAUM · $33.8M to $27.9MNov 5, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $7.0M to $6.3MNov 5, 2025 to Feb 17, 2026
- Pension RAUM · 0.0 to unsetNov 5, 2025 to Feb 17, 2026
- Pooled vehicle RAUM · 0.0 to unsetNov 5, 2025 to Feb 17, 2026
- RAUM · $103M to $111MNov 5, 2025 to Feb 17, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Nov 5, 2025
- Accounts · 259 to 247Sep 10, 2024 to Mar 20, 2025
- HNW clients · 26 to 20Sep 10, 2024 to Mar 20, 2025
- Individual clients · 40 to 48Sep 10, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 0Sep 10, 2024 to Mar 20, 2025
- Discretionary RAUM · $101M to $96.1MSep 10, 2024 to Mar 20, 2025
- HNW RAUM · $77.5M to $69.3MSep 10, 2024 to Mar 20, 2025
- Individual RAUM · $23.8M to $33.8MSep 10, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $0 to $7.0MSep 10, 2024 to Mar 20, 2025
- RAUM · $101M to $103MSep 10, 2024 to Mar 20, 2025
Signals
1 dated events
- Compass Investment Advisers, Llc filed its initial SEC registration (Form ADV)Sep 10, 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
- Website
- compassadv.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 503-473-8422reportedpublic record, Form ADV, Mar 3, 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
- $55.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026