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.
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SEC-registered adviser
C•••••• W••••• M••••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Mar 20, 2012 · 25 filings
SEC status approved since Feb 14, 2011
RAUM
$308M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$306M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$154M
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
25 filings and snapshots on the tape
RAUM$308M as of Feb 10, 2026
Mar 20, 2012$99.8M then
HNW client RAUM$256M as of Feb 10, 2026
Mar 19, 2018$118M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Mar 20, 20120 then
Employees (5.A)4 as of Feb 10, 2026
Feb 25, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Feb 10, 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
- $154MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $398,065derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $10.4M, 16 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$256M83%
- Individuals$49.2M16%
- Pension and profit-sharing plans$2.2M0.7%
- Individual clients
- 85reported
- HNW clients
- 83reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 773reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.4M for 16 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| R••••• A•••••• A••••Certified Financial Planner | Atlanta, Ga | Mar 9, 2011 | 28 y | 3 |
| L•••• A••• M•••••Certified Financial Planner | Atlanta, Ga | Sep 16, 2022 | 10 y | 1 |
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
Left, latest
- P••••••• C••••• C• H••••• to C••••••• M•••• L••Aug 6, 2025 · RIA to a state-registered adviser
- S•••• A•• S•••••• to O••••• F•••••••• G••••• L••Aug 1, 2022 · RIA to RIA
- B••• H••••• D•••• to B••••••• W••••• A••••••• L••Jun 30, 2021 · RIA to RIA
Joined, latest
- L•••• A••• M••••• from E••••• J••••Sep 16, 2022 · Affiliated broker-dealer or bank to independent RIA
- S•••• A•• S•••••• from J••• M••••• S••••••••• L••May 13, 2019 · Wirehouse to independent RIA
- B••• H••••• D•••• from M••••• S••••••Mar 9, 2011 · Other
- R••••• A•••••• A•••• from M••••• S••••••Mar 9, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• R•••••• A•••••• · Principal/Chief Compliance Officercontrolsince 03/2011 · 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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 761 to 773Jul 7, 2025 to Feb 10, 2026
- Advisory employees · 3 to 2Jul 7, 2025 to Feb 10, 2026
- HNW clients · 79 to 83Jul 7, 2025 to Feb 10, 2026
- Individual clients · 87 to 85Jul 7, 2025 to Feb 10, 2026
- Assets in custody · $10.1M to $10.4MJul 7, 2025 to Feb 10, 2026
- Employees · 5 to 4Jul 7, 2025 to Feb 10, 2026
- State-registered IARs · 3 to 2Jul 7, 2025 to Feb 10, 2026
- Discretionary RAUM · $268M to $308MJul 7, 2025 to Feb 10, 2026
- HNW RAUM · $222M to $256MJul 7, 2025 to Feb 10, 2026
- Individual RAUM · $43.8M to $49.2MJul 7, 2025 to Feb 10, 2026
- Pension RAUM · $1.7M to $2.2MJul 7, 2025 to Feb 10, 2026
- RAUM · $268M to $308MJul 7, 2025 to Feb 10, 2026
- Assets in custody · $883,652 to $10.1MMar 26, 2025 to Jul 7, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2025 to Jul 7, 2025
- Accounts · 743 to 761Mar 12, 2024 to Mar 26, 2025
- HNW clients · 74 to 79Mar 12, 2024 to Mar 26, 2025
- Individual clients · 84 to 87Mar 12, 2024 to Mar 26, 2025
- Assets in custody · $709,353 to $883,652Mar 12, 2024 to Mar 26, 2025
- Discretionary RAUM · $225M to $268MMar 12, 2024 to Mar 26, 2025
- HNW RAUM · $182M to $222MMar 12, 2024 to Mar 26, 2025
- Individual RAUM · $41.8M to $43.8MMar 12, 2024 to Mar 26, 2025
- Pension RAUM · $1.3M to $1.7MMar 12, 2024 to Mar 26, 2025
- RAUM · $225M to $268MMar 12, 2024 to Mar 26, 2025
- Accounts · 702 to 743Mar 3, 2023 to Mar 12, 2024
- Advisory employees · 2 to 3Mar 3, 2023 to Mar 12, 2024
- HNW clients · 66 to 74Mar 3, 2023 to Mar 12, 2024
- Individual clients · 86 to 84Mar 3, 2023 to Mar 12, 2024
- Assets in custody · unset to 709353.0Mar 3, 2023 to Mar 12, 2024
- Custody of client assets · false to trueMar 3, 2023 to Mar 12, 2024
- Employees · 4 to 5Mar 3, 2023 to Mar 12, 2024
- State-registered IARs · 2 to 3Mar 3, 2023 to Mar 12, 2024
- Discretionary RAUM · $192M to $225MMar 3, 2023 to Mar 12, 2024
- HNW RAUM · $150M to $182MMar 3, 2023 to Mar 12, 2024
- Individual RAUM · $41.2M to $41.8MMar 3, 2023 to Mar 12, 2024
- Pension RAUM · $1.5M to $1.3MMar 3, 2023 to Mar 12, 2024
- RAUM · $192M to $225MMar 3, 2023 to Mar 12, 2024
- Accounts · 657 to 702Aug 31, 2022 to Mar 3, 2023
- HNW clients · 63 to 66Aug 31, 2022 to Mar 3, 2023
- Individual clients · 85 to 86Aug 31, 2022 to Mar 3, 2023
- Pension plan clients · unset to 3.0Aug 31, 2022 to Mar 3, 2023
Signals
5 dated events
- P••••••• C••••• C• H••••• left C•••••• W••••• M••••••••• L•• for C••••••• M•••• L•• (registered 2025-09-30)Aug 6, 2025 · Advisor changed firm · fact
- Alec L•••• M••••• (Chief Compliance Officer) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2023-03-03, absent 2024-03-12)Mar 12, 2024 · Control person left · inference
- S•••• A•• S•••••• left C•••••• W••••• M••••••••• L•• for O••••• F•••••••• G••••• L•• (registered 2023-02-23)Aug 1, 2022 · Advisor changed firm · fact
- Hunter Beau Davis (Managing Partner) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2021-03-10, absent 2021-07-02)Jul 2, 2021 · Control person left · inference
- L•••• M••••• (Chief Compliance Officer) appeared on Schedule A of C•••••• W••••• M••••••••• L••Oct 9, 2020 · 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
- Firm profile
- linkedin.com/company/compasswmreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 678-619-2364reportedpublic record, Form ADV, Feb 10, 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
- $154Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026