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

Comperio Retirement Consulting, Inc.

Institutional managerCary, North CarolinaCRD 140786SEC 801-66831websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 26, 2012 · 19 filings
SEC status approved since May 30, 2006
RAUM
$2.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$993M
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
19 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2026
Mar 25, 2016$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 26, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Mar 11, 20135 then
Private funds: no history
RAUM -1.3% over the last fiscal year+4.4% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
  • OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$993MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$62.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%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
-1.3%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, pension consulting, selection of other advisersreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$2.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
27reported
Charitable clients
n/areported
Accounts
32reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
James Richard SotellCary, NcJun 8, 200636 y1
Jarrott B HeathCary, NcJun 27, 201910 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Francis Scott Fremer · Secretarycontrol
      since 12/2015 · owns 5% to 10%
    • Richard James Sotell · Managing Director, President, Chief Compliance Officer & Treasurercontrol
      since 05/2006 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Comperio Retirement Consulting, Inc. as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Cary, Nc · principal200
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • low discretionary shareStatic outlier · filing Mar 30, 2026
      discretionary share of RAUM of 0% against a peer median of 99% (121 comparable advisers, 0.0th percentile, 33.5 robust deviations)
      peers: institutional managers, $1B to $5B (121) · 0.0% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 39 to 32
      Jun 30, 2025 to Mar 30, 2026
    • Pension plan clients · 35 to 27
      Jun 30, 2025 to Mar 30, 2026
    • Non-discretionary RAUM · $2.0B to $2.0B
      Jun 30, 2025 to Mar 30, 2026
    • Pension RAUM · $2.0B to $2.0B
      Jun 30, 2025 to Mar 30, 2026
    • RAUM · $2.0B to $2.0B
      Jun 30, 2025 to Mar 30, 2026
    • Advisory employees · 3 to 2
      Apr 21, 2025 to Jun 30, 2025
    • Employees · 5 to 4
      Apr 21, 2025 to Jun 30, 2025
    • Financial planning clients · 1-10 to 1-10
      Apr 21, 2025 to Jun 30, 2025
    • State-registered IARs · 3 to 2
      Apr 21, 2025 to Jun 30, 2025
    • Other offices · 1 to 0
      Apr 21, 2025 to Jun 30, 2025
    • Accounts · 38 to 39
      Mar 26, 2024 to Apr 21, 2025
    • Pension plan clients · 36 to 35
      Mar 26, 2024 to Apr 21, 2025
    • Non-discretionary RAUM · $1.9B to $2.0B
      Mar 26, 2024 to Apr 21, 2025
    • Pension RAUM · $1.9B to $2.0B
      Mar 26, 2024 to Apr 21, 2025
    • RAUM · $1.9B to $2.0B
      Mar 26, 2024 to Apr 21, 2025
    • Accounts · 40 to 38
      Jan 27, 2023 to Mar 26, 2024
    • Pension plan clients · 33 to 36
      Jan 27, 2023 to Mar 26, 2024
    • Non-discretionary RAUM · $1.7B to $1.9B
      Jan 27, 2023 to Mar 26, 2024
    • Pension RAUM · $1.7B to $1.9B
      Jan 27, 2023 to Mar 26, 2024
    • RAUM · $1.7B to $1.9B
      Jan 27, 2023 to Mar 26, 2024
    • Accounts · 30 to 40
      Feb 11, 2022 to Jan 27, 2023
    • Pension plan clients · 30 to 33
      Feb 11, 2022 to Jan 27, 2023
    • Non-discretionary RAUM · $2.0B to $1.7B
      Feb 11, 2022 to Jan 27, 2023
    • Pension RAUM · $2.0B to $1.7B
      Feb 11, 2022 to Jan 27, 2023
    • RAUM · $2.0B to $1.7B
      Feb 11, 2022 to Jan 27, 2023
    • Non-discretionary RAUM · $1.8B to $2.0B
      Sep 21, 2021 to Feb 11, 2022
    • Pension RAUM · $1.8B to $2.0B
      Sep 21, 2021 to Feb 11, 2022
    • RAUM · $1.8B to $2.0B
      Sep 21, 2021 to Feb 11, 2022
    • Discretionary RAUM · $40.0M to $0
      Mar 25, 2020 to Mar 7, 2021
    • Non-discretionary RAUM · $1.4B to $1.8B
      Mar 25, 2020 to Mar 7, 2021
    • Pension RAUM · $1.4B to $1.8B
      Mar 25, 2020 to Mar 7, 2021
    • RAUM · $1.4B to $1.8B
      Mar 25, 2020 to Mar 7, 2021
    • Advisory employees · 2 to 3
      Oct 16, 2019 to Mar 25, 2020
    • State-registered IARs · 2 to 3
      Oct 16, 2019 to Mar 25, 2020
    • Discretionary RAUM · $0 to $40.0M
      Oct 16, 2019 to Mar 25, 2020
    • Non-discretionary RAUM · $1.4B to $1.4B
      Oct 16, 2019 to Mar 25, 2020
    • Advisory employees · 3 to 2
      Mar 29, 2018 to Mar 27, 2019
    • State-registered IARs · 3 to 2
      Mar 29, 2018 to Mar 27, 2019
    • Accounts · 31 to 30
      Mar 29, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 30.0
      Mar 29, 2017 to Mar 29, 2018
    Signals
    2 dated events
    • Scott Francis Fremer left Comperio Retirement Consulting, Inc. for Henderson Brothers Financial Partners Llc (registered 2025-07-21)
      Jun 27, 2025 · Advisor changed firm · fact
    • Comperio Retirement Consulting, Inc. reported RAUM $1.8B, up 29% from $1.4B (2020-03-25 to 2021-03-07)
      Mar 7, 2021 · RAUM change · derived
    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
    Firm profile
    linkedin.com/company/comperioretirementconsultingreportedpublic record, Form ADV, Sep 17, 2026
    Website
    COMPERIORC.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    919-401-3500reportedpublic record, Form ADV, Mar 30, 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
    Institutional managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $993Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026