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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• I••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 15, 2011 · 40 filings
SEC status approved since Aug 31, 2006
RAUM
$93.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$92.7M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$23.3M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$93.2M as of Mar 20, 2026
Apr 9, 2012$48.0M then
HNW client RAUM$54.6M as of Mar 20, 2026
Mar 30, 2018$38.8M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Apr 9, 20120 then
Employees (5.A)5 as of Mar 20, 2026
Apr 2, 20134 then
Private funds: no history
RAUM +9.2% over the last fiscal year+7.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 20, 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
- RAUM per advisor
- $23.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $222,867derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $35.3M, 52 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)
- 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$54.6M59%
- Individuals$38.1M41%
- Charitable organizations$257,6670.3%
- Corporations and businesses$188,0580.2%
- Individual clients
- 150reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 418reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $35.3M for 52 clientsreported
- Compensation
- % of AUM, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| O••••• S•• K••••• | Pittsburgh, Pa | Mar 8, 2021 | 10 y | 0 |
| G••• E•••• R••••••• | Pittsburgh, Pa | Jan 1, 2026 | 38 y | 0 |
| P••••• J••• S••••Chartered Financial Consultant | Pittsburgh, Pa | Jan 30, 2026 | 19 y | 0 |
| D••••• D••••• C••••••• | Pittsburgh, Pa | Sep 7, 2026 | 44 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
- G••••••• P•••••• C•••• to I••••••••• R••••••• P•••••••Nov 19, 2021 · Other
Joined, latest
- G••••••• P•••••• C•••• from A•••••••• W••••• C••••••••• L••Jan 14, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• O•••••• S•• · Principalcontrolsince 11/2022 · owns 75% or more
- O••••• R•••• C••••••••• · Chief Compliance Officersince 04/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 412 to 418Mar 28, 2025 to Mar 20, 2026
- HNW clients · 27 to 26Mar 28, 2025 to Mar 20, 2026
- Individual clients · 145 to 150Mar 28, 2025 to Mar 20, 2026
- Assets in custody · $22.7M to $35.3MMar 28, 2025 to Mar 20, 2026
- Discretionary RAUM · $85.3M to $93.2MMar 28, 2025 to Mar 20, 2026
- HNW RAUM · $50.2M to $54.6MMar 28, 2025 to Mar 20, 2026
- Individual RAUM · $34.0M to $38.1MMar 28, 2025 to Mar 20, 2026
- RAUM · $85.3M to $93.2MMar 28, 2025 to Mar 20, 2026
- HNW clients · 18 to 27Mar 29, 2024 to Mar 28, 2025
- Individual clients · 155 to 145Mar 29, 2024 to Mar 28, 2025
- Assets in custody · unset to 22701273.0Mar 29, 2024 to Mar 28, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $76.4M to $85.3MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $37.2M to $50.2MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $38.4M to $34.0MMar 29, 2024 to Mar 28, 2025
- RAUM · $76.4M to $85.3MMar 29, 2024 to Mar 28, 2025
- Accounts · 393 to 412Sep 20, 2023 to Mar 29, 2024
- HNW clients · 16 to 18Sep 20, 2023 to Mar 29, 2024
- Individual clients · 159 to 155Sep 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $74.9M to $76.4MSep 20, 2023 to Mar 29, 2024
- HNW RAUM · $34.6M to $37.2MSep 20, 2023 to Mar 29, 2024
- Individual RAUM · $39.6M to $38.4MSep 20, 2023 to Mar 29, 2024
- RAUM · $74.9M to $76.4MSep 20, 2023 to Mar 29, 2024
- HQ city · unset to PITTSBURGHMay 24, 2023 to May 24, 2023
- HQ state · unset to PAMay 24, 2023 to May 24, 2023
- Accounts · 414 to 393Nov 30, 2022 to Feb 28, 2023
- Advisory employees · 5 to 4Nov 30, 2022 to Feb 28, 2023
- HNW clients · 21 to 16Nov 30, 2022 to Feb 28, 2023
- Individual clients · 161 to 159Nov 30, 2022 to Feb 28, 2023
- State-registered IARs · 5 to 4Nov 30, 2022 to Feb 28, 2023
- Other offices · 5 to 4Nov 30, 2022 to Feb 28, 2023
- Discretionary RAUM · $83.8M to $74.9MNov 30, 2022 to Feb 28, 2023
- HNW RAUM · $41.8M to $34.6MNov 30, 2022 to Feb 28, 2023
- Individual RAUM · $41.5M to $39.6MNov 30, 2022 to Feb 28, 2023
- RAUM · $83.8M to $74.9MNov 30, 2022 to Feb 28, 2023
- Accounts · 617 to 414Jan 19, 2022 to Mar 29, 2022
- BD registered reps · 1 to 0Jan 19, 2022 to Mar 29, 2022
- HNW clients · 52 to 21Jan 19, 2022 to Mar 29, 2022
- Individual clients · 191 to 161Jan 19, 2022 to Mar 29, 2022
Signals
5 dated events
- C•••••••• C••••••• O•••• (Owner) no longer on Schedule A of C•••••• I••••••••• L•• (listed 2023-03-16, absent 2023-04-13)Apr 13, 2023 · Control person left · inference
- C•••••••• J•••• R••• (Managing Member/Chief Compliance Officer) no longer on Schedule A of C•••••• I••••••••• L•• (listed 2022-05-09, absent 2022-11-23)Nov 23, 2022 · Control person left · inference
- C••••••••• R••• O•••• (Chief Compliance Officer) appeared on Schedule A of C•••••• I••••••••• L••Nov 23, 2022 · Control person joined · fact
- Sue O••••• K••••• (Principal) appeared on Schedule A of C•••••• I••••••••• L••Nov 23, 2022 · Control person joined · fact
- C•••••••• C••••••• O•••• (Owner) appeared on Schedule A of C•••••• I••••••••• L••Nov 23, 2022 · Control person joined · 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
- 570-916-2208reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 570-916-2208reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- compassinvestmentsllc.com/our-teamreportedpublished 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
- $23.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026