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 Financial Management LLC
Latest filing May 18, 2026
First filing on the tape Dec 14, 2011 · 36 filings
SEC status approved since Mar 6, 2020
RAUM
$894M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$846M individuals and HNW
Advisors
45
registered through the firm on IAPD
RAUM per advisor
$19.9M
derived; firm RAUM over IAPD count
Employees
33
31 advisory (5.B.1)
Offices
36
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$894M as of May 18, 2026
Mar 26, 2012$59.4M then
HNW client RAUM$444M as of May 18, 2026
Feb 12, 2021$64.4M then
State-registered IARs (5.B.3)33 as of May 18, 2026
Mar 26, 20120 then
Employees (5.A)33 as of May 18, 2026
Feb 12, 20217 then
Private funds: no history
RAUM +72% over the last fiscal year+50% a year over threeIARs 28 to 33offices 24 to 36
Practice profile
derived from the filing of May 18, 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
- 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
- $19.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $235,282derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.2derived37 offices incl. principal (1.F.5)
- RAUM growth, one year
- +72%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +64%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$444M50%
- Individuals$402M45%
- Pension and profit-sharing plans$29.4M3.3%
- Corporations and businesses$18.4M2.1%
- Individual clients
- 1,955reported
- HNW clients
- 197reported
- Pension plan clients
- 37reported
- Charitable clients
- 0reported
- Accounts
- 3,799reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
38 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J'Neanne Mary Theus | Sunbury, Oh | Sep 17, 2015 | 21 y | 4 |
| Joseph William Dise | Tampa, Fl | Aug 28, 2020 | 33 y | 3 |
| Kathryn Aiksnoras Dennen | Oxford, Ct | Dec 9, 2020 | 11 y | 2 |
| Peter John Aiksnoras | Oxford, Ct | Apr 13, 2021 | 39 y | 0 |
| Michael Thomas Lee | New York, Ny | Aug 6, 2021 | 24 y | 8 |
| Frederick Eugene Mowery | Allen, Tx | Sep 28, 2021 | 42 y | 5 |
| Steven Craig Walstad | Bloomington, Mn | Dec 16, 2021 | 30 y | 1 |
| Harold Alan Schwartz | Lutz, Fl | Jan 4, 2022 | 43 y | 3 |
| Michael Clarence Ferrin | Clemmons, Nc | Jun 7, 2023 | 24 y | 1 |
| James Robert DavenportCertified Financial Planner | Sarasota, Fl | Sep 7, 2023 | 16 y | 3 |
| Nathan Lee Wilson | Bellvue, Co | Sep 11, 2023 | 28 y | 6 |
| Belinda Marie Lusk | Chicago, Il | Oct 24, 2023 | 21 y | 1 |
| John George Daniels | Sarasota, Fl | Oct 26, 2023 | 34 y | 1 |
| Elisea Tantuan Frishberg | Hialeah, Fl | Feb 14, 2024 | 30 y | 5 |
| Mark Alan FlemingCertified Financial Planner | Oak Brook, Il | Jul 16, 2024 | 18 y | 3 |
| Jesse John Lipscomb | San Diego, Ca | Oct 15, 2024 | 25 y | 4 |
| Geoffrey Mchale Garfield | Darien, Ct | Nov 18, 2024 | 32 y | 1 |
| Wendell Breneman Stewart | Windham, Nh | Dec 19, 2024 | 41 y | 2 |
| Robert David ZodaCertified Financial Planner | Montgomery, Tx | Feb 11, 2025 | 39 y | 4 |
| Kevin David Harwood | Tampa, Fl | Mar 17, 2025 | 12 y | 1 |
| William Christian Gabrielsen | Biddeford, Me | Apr 4, 2025 | 27 y | 3 |
| Scott Evan Greene | Tampa, Fl | Apr 8, 2025 | 28 y | 3 |
| Justin Kelly | St. Petersburg, Fl | May 14, 2025 | 12 y | 1 |
| Albert Daniel Souza | Seattle, Wa | Jul 18, 2025 | 17 y | 2 |
| Tanner Harwood | Tampa, Fl | Sep 4, 2025 | 13 y | 0 |
| Bradley Arnold Allan | Phoenix, Az | Dec 1, 2025 | 10 y | 0 |
| Jacob Johnson | San Diego, Ca | Dec 10, 2025 | 12 y | 0 |
| Jeffrey Michael Burgess | Richmond, Va | Jan 2, 2026 | 28 y | 2 |
| Gary Charles Haack | San Antonio, Tx | Feb 4, 2026 | 31 y | 10 |
| Cooper Carrier | Knoxville, Tn | Mar 2, 2026 | 10 y | 0 |
| Kyle Alan Ruiter | Scottsdale, Az | Mar 6, 2026 | 19 y | 2 |
| Matthew K Carrier | Knoxville, Tn | Mar 17, 2026 | 32 y | 2 |
| Riley Hagan | Sarasota, Fl | Mar 26, 2026 | 11 y | 0 |
| Christa Irwin | Summerville, Sc | Apr 14, 2026 | 11 y | 2 |
| Jerry Judd | Houston, Tx | Jun 1, 2026 | 43 y | 0 |
| Elizabeth Dennen | Fairview, Tx | Jul 22, 2026 | 10 y | 0 |
| Roy Atallah | Hubert, Nc | Jul 22, 2026 | 10 y | 0 |
| Kevin John Christ | Phoenix, Az | Aug 5, 2026 | 10 y | 0 |
Advisor movement
6 left, 8 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 13% of current headcount8 left over 36 months
Left, latest
- David Alan King to LPL Enterprise, LLCMay 18, 2026 · RIA to affiliated broker-dealer or bank
- Donald Michael Paracca to Paracca Financial GroupApr 1, 2026 · RIA to a state-registered adviser
- Joe Strom to Stonebriar Wealth, LLCMar 3, 2026 · RIA to RIA
- David Morgan to Simplicity WealthMar 2, 2026 · RIA to RIA
- Kelvin Ray Douglas to Dmk Advisor Group, Inc.Dec 5, 2025 · RIA to RIA
- Sunil Dutt Misra to Dmk Advisor Group, Inc.Oct 7, 2025 · RIA to RIA
- Janak R Desai to Dmk Advisor Group, Inc.Jul 28, 2025 · RIA to RIA
- Maurice Hamilton Patterson to Mayflower AdvisorsJan 16, 2024 · RIA to RIA
Joined, latest
- Richard Mark Allison from First Coast Planning, LLCAug 25, 2026 · Other
- Christa Irwin from Brookstone Wealth Advisors, LLCApr 14, 2026 · Other
- Matthew K Carrier from Brookstone Wealth Advisors, LLCMar 17, 2026 · Other
- Kyle Alan Ruiter from Hornor, Townsend & Kent, LLCMar 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- J'Neanne Mary Theus from Financial Gravity Family Office Services, LLCFeb 19, 2026 · RIA to RIA
- Gary Charles Haack from Creativeone Wealth, LLCFeb 4, 2026 · RIA to RIA
- Jeffrey Michael Burgess from Burgess Wealth AdvisoryJan 2, 2026 · Other
- David Alan King from Allstate Financial Advisors, LLCNov 24, 2025 · Affiliated broker-dealer or bank to independent RIA
- Albert Daniel Souza from Adams Financial Concepts, LLCJul 18, 2025 · RIA to RIA
- Justin Kelly from Equitable Advisors, LLCMay 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- Scott Evan Greene from Ae Wealth Management, LLCApr 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- William Christian Gabrielsen from Dst Wealth Management LLCApr 4, 2025 · RIA to RIA
- Kevin David Harwood from Darwin Wealth ManagementMar 17, 2025 · RIA to RIA
- Robert David Zoda from Zoda Financial, LLCFeb 11, 2025 · Other
- Wendell Breneman Stewart from Investacorp Advisory Services IncDec 19, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Markowski · Director/Managing Membercontrolsince 07/2018 · owns 25% to 50%
- Matthew Markowski · Director/Cco/Managing Membercontrolsince 07/2018 · owns 25% to 50%
- John Michael Markowski · Director/Managing Membercontrolsince 07/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- Markowski Investmentsinvestment advisernRAUM $474M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 9 | 1 | 0 | ||
| Sarasota, Fl | 3 | 1 | 1 | ||
| Phoenix, Az | 2 | 2 | 0 | ||
| Oxford, Ct | 2 | 0 | 0 | ||
| San Diego, Ca | 2 | 1 | 0 | ||
| Knoxville, Tn | 2 | 2 | 0 | ||
| Lutz, Fl | 1 | 0 | 1 | ||
| North Richland Hills, Tx | 0 | 0 | 1 | ||
| Highland, Ut | 0 | 0 | 1 | ||
| Jacksonville, Fl | 0 | 0 | 1 | ||
| Mcminnville, Tn | 0 | 0 | 1 | ||
| Dartmouth, Ma | 0 | 0 | 0 | ||
| Palm Coast, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Lutz, FL1 employees
- New York, NY1 employees
- Sarasota, FL1 employees
- Treasure Island, FL1 employees
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 1,350.0 to 3,799.0 (+181.0%) between the annual amendments of 2025-04-03 and 2026-03-27; the peer median change was +6.0% (1256 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 99% percentile
- client count surgeChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 1,310.0 to 2,152.0 (+64.0%) between the annual amendments of 2025-04-03 and 2026-03-27; the peer median change was +5.0% (1216 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 98% percentile
- office count surgeChange between filings · filing Mar 27, 2026offices other than the principal office (Item 1.F.5) moved from 24.0 to 36.0 (+50.0%) between the annual amendments of 2025-04-03 and 2026-03-27; the peer median change was 0.0% (233 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $500M to $1B (233) · 93% percentile
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $518,984,611 to $893,836,789 (+72.0%) between the annual amendments of 2025-04-03 and 2026-03-27; the peer median change was +16.0% (1386 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,386) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,350 to 3,799Jan 30, 2026 to Mar 27, 2026
- Advisory employees · 27 to 31Jan 30, 2026 to Mar 27, 2026
- BD registered reps · 5 to 2Jan 30, 2026 to Mar 27, 2026
- Corporate clients · 27 to 39Jan 30, 2026 to Mar 27, 2026
- HNW clients · 104 to 197Jan 30, 2026 to Mar 27, 2026
- Individual clients · 1,206 to 1,955Jan 30, 2026 to Mar 27, 2026
- Pension plan clients · 13 to 37Jan 30, 2026 to Mar 27, 2026
- Employees · 28 to 33Jan 30, 2026 to Mar 27, 2026
- Insurance-licensed employees · 11 to 8Jan 30, 2026 to Mar 27, 2026
- State-registered IARs · 28 to 33Jan 30, 2026 to Mar 27, 2026
- Other offices · 24 to 36Jan 30, 2026 to Mar 27, 2026
- Discretionary RAUM · $519M to $894MJan 30, 2026 to Mar 27, 2026
- HNW RAUM · $239M to $444MJan 30, 2026 to Mar 27, 2026
- Individual RAUM · $243M to $402MJan 30, 2026 to Mar 27, 2026
- Pension RAUM · $19.8M to $29.4MJan 30, 2026 to Mar 27, 2026
- RAUM · $519M to $894MJan 30, 2026 to Mar 27, 2026
- Financial planning clients · 0 to 0Aug 18, 2025 to Nov 17, 2025
- Accounts · 1,131 to 1,350May 10, 2024 to Apr 3, 2025
- Advisory employees · 20 to 27May 10, 2024 to Apr 3, 2025
- BD registered reps · 4 to 5May 10, 2024 to Apr 3, 2025
- Corporate clients · 22 to 27May 10, 2024 to Apr 3, 2025
- HNW clients · 80 to 104May 10, 2024 to Apr 3, 2025
- Individual clients · 1,019 to 1,206May 10, 2024 to Apr 3, 2025
- Pension plan clients · 10 to 13May 10, 2024 to Apr 3, 2025
- Employees · 20 to 28May 10, 2024 to Apr 3, 2025
- Insurance-licensed employees · 7 to 11May 10, 2024 to Apr 3, 2025
- State-registered IARs · 20 to 28May 10, 2024 to Apr 3, 2025
- Other offices · 7 to 24May 10, 2024 to Apr 3, 2025
- Discretionary RAUM · $409M to $519MMay 10, 2024 to Apr 3, 2025
- HNW RAUM · $183M to $239MMay 10, 2024 to Apr 3, 2025
- Individual RAUM · $203M to $243MMay 10, 2024 to Apr 3, 2025
- Pension RAUM · $9.4M to $19.8MMay 10, 2024 to Apr 3, 2025
- RAUM · $409M to $519MMay 10, 2024 to Apr 3, 2025
- Accounts · 1,294 to 1,131Feb 28, 2024 to Mar 21, 2024
- Advisory employees · 16 to 20Feb 28, 2024 to Mar 21, 2024
- Advisory activities · 2 to 3Feb 28, 2024 to Mar 21, 2024
- BD registered reps · 0 to 4Feb 28, 2024 to Mar 21, 2024
- Corporate clients · 18 to 22Feb 28, 2024 to Mar 21, 2024
- HNW clients · 88 to 80Feb 28, 2024 to Mar 21, 2024
- Individual clients · 651 to 1,019Feb 28, 2024 to Mar 21, 2024
Signals
21 dated events
- David Alan King left Compass Financial Management Llc for Lpl Enterprise, Llc (registered 2026-05-06)May 18, 2026 · Advisor changed firm · fact
- Donald Michael Paracca left Compass Financial Management Llc for Paracca Financial Group (registered 2025-12-05)Apr 1, 2026 · Advisor changed firm · fact
- Compass Financial Management Llc reported 36 offices beyond its principal office, up from 24 (2026-01-30 to 2026-03-27)Mar 27, 2026 · Office count change · derived
- Compass Financial Management Llc reported RAUM $893.8M, up 72% from $519.0M (2026-01-30 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Joe Strom left Compass Financial Management Llc for Stonebriar Wealth, Llc (registered 2026-02-27)Mar 3, 2026 · Advisor changed firm · fact
- David Morgan left Compass Financial Management Llc for Simplicity Wealth (registered 2026-01-13)Mar 2, 2026 · Advisor changed firm · fact
- Jorge Ramon Perez no longer registered at Compass Financial Management Llc; no later IA registration on IAPDDec 5, 2025 · Advisor departure · fact
- Kelvin Ray Douglas left Compass Financial Management Llc for Dmk Advisor Group, Inc. (registered 2022-01-05)Dec 5, 2025 · Advisor changed firm · fact
- Sunil Dutt Misra left Compass Financial Management Llc for Dmk Advisor Group, Inc. (registered 2025-07-02)Oct 7, 2025 · Advisor changed firm · fact
- Janak R Desai left Compass Financial Management Llc for Dmk Advisor Group, Inc. (registered 2025-07-07)Jul 28, 2025 · Advisor changed firm · fact
- Compass Financial Management Llc reported 24 offices beyond its principal office, up from 7 (2024-05-10 to 2025-04-03)Apr 3, 2025 · Office count change · derived
- Compass Financial Management Llc reported RAUM $519.0M, up 27% from $409.4M (2024-05-10 to 2025-04-03)Apr 3, 2025 · RAUM change · derived
- Compass Financial Management Llc reported 20 state-registered advisory representatives, up from 7 (2024-02-28 to 2024-03-21)Mar 21, 2024 · Advisor headcount change · derived
- Compass Financial Management Llc reported RAUM $409.4M, up 55% from $263.6M (2024-02-28 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- Maurice Hamilton Patterson left Compass Financial Management Llc for Mayflower Advisors (registered 2026-04-14)Jan 16, 2024 · Advisor changed firm · fact
- Matthew Markowski (Director/Cco/Managing Member) appeared on Schedule A of Compass Financial Management LlcFeb 6, 2020 · Control person joined · fact
- John Michael Markowski (Director/Managing Member) appeared on Schedule A of Compass Financial Management LlcFeb 6, 2020 · Control person joined · fact
- Christopher Markowski (Director/Managing Member) appeared on Schedule A of Compass Financial Management LlcFeb 6, 2020 · Control person joined · fact
- Christman Robert Kleiber (Managing Member / Chief Compliance Officer) no longer on Schedule A of Compass Financial Management Llc (listed 2012-06-25, absent 2020-02-06)Feb 6, 2020 · Control person left · inference
- Karen Jill Graceffo (Member) no longer on Schedule A of Compass Financial Management Llc (listed 2012-06-25, absent 2020-02-06)Feb 6, 2020 · Control person left · inference
- Compass Financial Management Llc filed its initial SEC registration (Form ADV)Feb 6, 2020 · 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 phone
- 813-597-6400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 331-212-8100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 813-445-5166reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- COMPASSFMLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 813-597-6400reportedpublic record, Form ADV, May 18, 2026
- Team page
- compassfmllc.com/advisorsreportedpublished by the firm, firm site, Sep 15, 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
- $19.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026