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
Equitycompass Investment Management, LLC
Latest filing Mar 16, 2026
First filing on the tape Mar 27, 2012 · 44 filings
SEC status approved since May 8, 2008
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$44.2M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$221M as of Mar 16, 2026
Mar 28, 2014$19.3M then
HNW client RAUM$141M as of Mar 16, 2026
Mar 27, 2018$101M then
State-registered IARs (5.B.3)5 as of Mar 16, 2026
Mar 26, 20135 then
Employees (5.A)14 as of Mar 16, 2026
Mar 26, 201312 then
Private funds: no history
RAUM -0.8% over the last fiscal year+6.3% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 16, 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
- $44.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.9MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M64%
- Individuals$79.8M36%
- Individual clients
- 150reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 163reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $216M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0 bank_owner=falsederived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Scott Scherer | Baltimore, Md | Jan 22, 2010 | 20 y | 2 |
| Timothy Michael Mccann | Boston, Ma | Feb 16, 2010 | 28 y | 2 |
| Bobby (Nmn) Thomas | Baltimore, Md | Sep 8, 2010 | 19 y | 0 |
| Bernard Joseph Kavanagh | Baltimore, Md | Jan 6, 2012 | 28 y | 1 |
| Robert George HagstromChartered Financial Analyst | Vero Beach, Fl | Aug 30, 2024 | 34 y | 3 |
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
- Robert George Hagstrom from 1919 Investment Counsel, LLCAug 30, 2024 · Other
- Timothy Michael Mccann from Stifel, Nicolaus & Company, IncorporatedMay 29, 2008 · Affiliated broker-dealer or bank to a newly registered adviser
- Michael Scott Scherer from Stifel, Nicolaus & Company, IncorporatedMay 28, 2008 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- George Robert Hagstrom · Chief Investment Officercontrolsince 03/2019 · owns less than 5%
- Mark Christopher Mutascio · Vice Presidentcontrolsince 10/2018 · owns less than 5%
- Alexander Michael Spero · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- L Avi Stein · Chief Financial Officercontrolsince 03/2020 · owns less than 5%
- (Nmn) Bobby Thomas · Vice Presidentcontrolsince 09/2015 · owns less than 5%
Entity owners
- Stifel Financial Corporation · Managing Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- 1919 Investment Counsel, LLCinvestment adviserbanknRAUM $26B
- Csa Insurance Agency Incorporatedreal estaten
- Eaton Partners (Uk) Llpbroker-dealern
- Stifel Wealth Trackerinvestment advisern
- Kcp Fund General Partner LLCpooled vehicle sponsorn
- Keefe, Bruyette & Woods, Inc.broker-dealern
- Stifel Access Services LLCpooled vehicle sponsorn
- Stifel Bank & Trust, National Associationn
- Stifel Bank, National Associationn
- Stifel Capital Management, LLCinvestment advisernRAUM $4.2B
- Stifel Europe Bank Agbroker-dealern
- Stifel Hong Kong Limitedbroker-dealern
- Stifel Independent Advisors, LLCbroker-dealerinvestment advisernRAUM $5.0B
- Stifel Nicolaus Canada Inc.broker-dealern
- Stifel Nicolaus Europe Limitedbroker-dealern
- Stifel Nicolaus Insurance Agency Incorporatedreal estaten
- Stifel Nicolaus Israel Ltd.broker-dealern
- Stifel Schweiz Agbroker-dealern
- Stifel Trust Company Delaware, National Associationn
- Stifel Trust Company, National Associationn
- Stifel, Nicolaus & Company, Incorporatedbroker-dealerinvestment adviserbankpooled vehicle sponsorreal estatecustodiannRAUM $198B
- Washington Crossing Advisors LLCinvestment advisernRAUM $2.0B
Advisers that list Equitycompass Investment Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA2 employees
- Bluffton, SC1 employees
- Vail, CO1 employees
- Vero Beach, FL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing Mar 16, 2026related persons on Schedule D 7.A of 22.0 against a peer median of 4.0 (203 comparable advisers, 98.0th percentile, 12.1 robust deviations)peers: independent wealth managers, $100M to $500M (203) · 98% percentile
- client mix shiftChange between filings · filing Mar 16, 2026private-client share of RAUM moved from 81.0% to 100.0% between the annual amendments of 2025-03-28 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 16, 2026HNW share of RAUM moved from 47.0% to 64.0% between the annual amendments of 2025-03-28 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 158 to 163Jun 10, 2025 to Mar 16, 2026
- HNW clients · 10 to 13Jun 10, 2025 to Mar 16, 2026
- Individual clients · 147 to 150Jun 10, 2025 to Mar 16, 2026
- Discretionary RAUM · $223M to $221MJun 10, 2025 to Mar 16, 2026
- HNW RAUM · $104M to $141MJun 10, 2025 to Mar 16, 2026
- Individual RAUM · $75.5M to $79.8MJun 10, 2025 to Mar 16, 2026
- RAUM · $223M to $221MJun 10, 2025 to Mar 16, 2026
- Wrap assets (manager) · $178M to $216MJun 10, 2025 to Mar 16, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 10, 2025
- Accounts · 109 to 158Nov 20, 2024 to Mar 28, 2025
- Advisory activities · 3 to 2Nov 20, 2024 to Mar 28, 2025
- HNW clients · 7 to 10Nov 20, 2024 to Mar 28, 2025
- Individual clients · 101 to 147Nov 20, 2024 to Mar 28, 2025
- Other offices · 4 to 5Nov 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $179M to $223MNov 20, 2024 to Mar 28, 2025
- HNW RAUM · $79.5M to $104MNov 20, 2024 to Mar 28, 2025
- Individual RAUM · $50.1M to $75.5MNov 20, 2024 to Mar 28, 2025
- RAUM · $179M to $223MNov 20, 2024 to Mar 28, 2025
- Wrap assets (manager) · $127M to $178MNov 20, 2024 to Mar 28, 2025
- Advisory employees · 11 to 10Mar 28, 2024 to Jun 5, 2024
- Employees · 15 to 14Mar 28, 2024 to Jun 5, 2024
- Accounts · 111 to 109Mar 31, 2023 to Mar 28, 2024
- HNW clients · 8 to 7Mar 31, 2023 to Mar 28, 2024
- Individual clients · 102 to 101Mar 31, 2023 to Mar 28, 2024
- Employees · 16 to 15Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 6 to 5Mar 31, 2023 to Mar 28, 2024
- Other offices · 3 to 4Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $184M to $179MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $76.8M to $79.5MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $45.4M to $50.1MMar 31, 2023 to Mar 28, 2024
- RAUM · $184M to $179MMar 31, 2023 to Mar 28, 2024
- Wrap assets (manager) · $120M to $127MMar 31, 2023 to Mar 28, 2024
- Accounts · 119 to 111Mar 31, 2022 to Mar 31, 2023
- HNW clients · 11 to 8Mar 31, 2022 to Mar 31, 2023
- Individual clients · 107 to 102Mar 31, 2022 to Mar 31, 2023
- Employees · 15 to 16Mar 31, 2022 to Mar 31, 2023
- State-registered IARs · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $221M to $184MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $97.6M to $76.8MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $56.9M to $45.4MMar 31, 2022 to Mar 31, 2023
Signals
13 dated events
- Eric Richard Cripps (Senior Investment Strategist) no longer on Schedule A of Equitycompass Investment Management, Llc (listed 2024-03-28, absent 2024-06-05)Jun 5, 2024 · Control person left · inference
- P Christopher Hayes (Chief Compliance Officer) no longer on Schedule A of Equitycompass Investment Management, Llc (listed 2021-04-13, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- Chih-Hao Michael Chien (Secretary) no longer on Schedule A of Equitycompass Investment Management, Llc (listed 2021-04-13, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- Michael Spero (Chief Compliance Officer) appeared on Schedule A of Equitycompass Investment Management, LlcJul 1, 2021 · Control person joined · fact
- Allen Scott Roberts (President) no longer on Schedule A of Equitycompass Investment Management, Llc (listed 2019-12-04, absent 2020-03-13)Mar 13, 2020 · Control person left · inference
- Marie Renee Ansbro (Vice President, Treasurer) no longer on Schedule A of Equitycompass Investment Management, Llc (listed 2019-12-04, absent 2020-03-13)Mar 13, 2020 · Control person left · inference
- Kumari Monika Singh (Chief Compliance Officer) no longer on Schedule A of Equitycompass Investment Management, Llc (listed 2019-12-04, absent 2020-03-13)Mar 13, 2020 · Control person left · inference
- P Christopher Hayes (Chief Compliance Officer) appeared on Schedule A of Equitycompass Investment Management, LlcMar 13, 2020 · Control person joined · fact
- L Avi Stein (Chief Financial Officer) appeared on Schedule A of Equitycompass Investment Management, LlcMar 13, 2020 · Control person joined · fact
- Kumari Monika Singh (Chief Compliance Officer) appeared on Schedule A of Equitycompass Investment Management, LlcSep 19, 2019 · Control person joined · fact
- George Robert Hagstrom (Chief Investment Officer) appeared on Schedule A of Equitycompass Investment Management, LlcMar 26, 2019 · Control person joined · fact
- Equitycompass Strategies reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 31, 2019 · Succession (Item 4) · fact
- Equitycompass Investment Management, Llc reported RAUM $178.6M, down 74% from $685.2M (2017-03-14 to 2018-03-27)Mar 27, 2018 · 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
- Business email
- info@equitycompass.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 443-224-1231reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/equitycompass-strategiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- EQUITYCOMPASS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 443-224-1231reportedpublic record, Form ADV, Mar 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
- $44.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026