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 Group, Inc

Independent wealth managerSioux Falls, South DakotaCRD 157109SEC 801-76392websiteIAPD
Latest filing Aug 24, 2026
First filing on the tape Apr 2, 2012 · 29 filings
SEC status approved since Apr 24, 2012
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.5B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$212M
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.5B as of Aug 24, 2026
May 13, 2013$122M then
HNW client RAUM$925M as of Aug 24, 2026
May 9, 2018$50.0M then
State-registered IARs (5.B.3)7 as of Aug 24, 2026
May 13, 20130 then
Employees (5.A)13 as of Aug 24, 2026
May 13, 20135 then
Private funds: no history
RAUM +84% over the last fiscal year+30% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Aug 24, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$212MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
402derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$524,668derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Financial planning clients
2,500reportedItem 5.H
Wrap fee program
$1.5BreportedItem 5.I
Custody
$795M, 1,819 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$925M62%
  • Individuals$547M37%
  • Corporations and businesses$10.0M0.7%
  • Charitable organizations$1.0M0.1%
Individual clients
2,512reported
HNW clients
304reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,826reported
Financial planning clients
2,500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$795M for 1,819 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
John David HallerCertified Financial Planner, Chartered Financial ConsultantSioux Falls, SdApr 21, 201646 y3
Jasen David HallerCertified Financial Planner, Chartered Financial ConsultantSioux Falls, SdApr 21, 201614 y1
Jesse David HallerCertified Financial Planner, Chartered Financial ConsultantSioux Falls, SdApr 21, 201617 y2
Caleb Burl ShivesCertified Financial Planner, Chartered Financial ConsultantSioux Falls, SdJun 21, 201914 y0
Ashley Maria TuckerChartered Financial ConsultantSioux Falls, SdAug 3, 202111 y0
Ezekiel Myles KlostermanCertified Financial Planner, Chartered Financial ConsultantSioux Falls, SdApr 12, 202214 y0
Jose AddinkSioux Falls, SdApr 8, 202410 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 headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • David Jasen Haller · Direct Ownercontrol
      since 05/2015 · owns 25% to 50%
    • David Jesse Haller · Vice President & Direct Ownercontrol
      since 03/2011 · owns 25% to 50%
    • David John Haller · President, Chief Compliance Officer, & Direct Ownercontrol
      since 03/2011 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Sioux Falls, Sd · principal700
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $1.5B to $1.5B
      Jul 30, 2026 to Aug 24, 2026
    • Individual RAUM · $546M to $547M
      Jul 30, 2026 to Aug 24, 2026
    • RAUM · $1.5B to $1.5B
      Jul 30, 2026 to Aug 24, 2026
    • Accounts · 8,015 to 2,826
      Nov 13, 2025 to Jul 30, 2026
    • Corporate clients · unset to 10.0
      Nov 13, 2025 to Jul 30, 2026
    • HNW clients · 276 to 304
      Nov 13, 2025 to Jul 30, 2026
    • Individual clients · 2,399 to 2,512
      Nov 13, 2025 to Jul 30, 2026
    • Assets in custody · $581M to $795M
      Nov 13, 2025 to Jul 30, 2026
    • Discretionary RAUM · $1.2B to $1.5B
      Nov 13, 2025 to Jul 30, 2026
    • HNW RAUM · $736M to $925M
      Nov 13, 2025 to Jul 30, 2026
    • Individual RAUM · $488M to $546M
      Nov 13, 2025 to Jul 30, 2026
    • RAUM · $1.2B to $1.5B
      Nov 13, 2025 to Jul 30, 2026
    • Accounts · 2,385 to 8,015
      May 8, 2024 to Jul 1, 2025
    • Advisory activities · 4 to 3
      May 8, 2024 to Jul 1, 2025
    • Corporate clients · 10.0 to unset
      May 8, 2024 to Jul 1, 2025
    • HNW clients · 25 to 276
      May 8, 2024 to Jul 1, 2025
    • Individual clients · 2,350 to 2,399
      May 8, 2024 to Jul 1, 2025
    • Assets in custody · unset to 580864000.0
      May 8, 2024 to Jul 1, 2025
    • Custody of client assets · false to true
      May 8, 2024 to Jul 1, 2025
    • Employees · 7 to 13
      May 8, 2024 to Jul 1, 2025
    • Financial planning clients · More than 500 to More than 500
      May 8, 2024 to Jul 1, 2025
    • Discretionary RAUM · $995M to $1.2B
      May 8, 2024 to Jul 1, 2025
    • HNW RAUM · $150M to $736M
      May 8, 2024 to Jul 1, 2025
    • Individual RAUM · $835M to $488M
      May 8, 2024 to Jul 1, 2025
    • RAUM · $995M to $1.2B
      May 8, 2024 to Jul 1, 2025
    • Accounts · 2,300 to 2,385
      Aug 11, 2023 to May 8, 2024
    • Advisory employees · 6 to 7
      Aug 11, 2023 to May 8, 2024
    • Individual clients · 2,265 to 2,350
      Aug 11, 2023 to May 8, 2024
    • Employees · 6 to 7
      Aug 11, 2023 to May 8, 2024
    • State-registered IARs · 6 to 7
      Aug 11, 2023 to May 8, 2024
    • Discretionary RAUM · $807M to $995M
      Aug 11, 2023 to May 8, 2024
    • Individual RAUM · $647M to $835M
      Aug 11, 2023 to May 8, 2024
    • RAUM · $807M to $995M
      Aug 11, 2023 to May 8, 2024
    • Accounts · 5,700 to 2,300
      May 12, 2022 to May 3, 2023
    • HNW clients · 75 to 25
      May 12, 2022 to May 3, 2023
    • Individual clients · 2,350 to 2,265
      May 12, 2022 to May 3, 2023
    • Discretionary RAUM · $760M to $807M
      May 12, 2022 to May 3, 2023
    • Individual RAUM · $600M to $647M
      May 12, 2022 to May 3, 2023
    • RAUM · $760M to $807M
      May 12, 2022 to May 3, 2023
    • Accounts · 2,500 to 5,700
      May 31, 2021 to May 11, 2022
    Signals
    1 dated events
    • Compass Financial Group, Inc reported RAUM $670.0M, up 33% from $503.0M (2020-05-11 to 2021-05-31)
      May 31, 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
    Business phone
    605-413-4296reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    800-473-7150reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    605-338-7150reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/compassfinreportedpublic record, Form ADV, Sep 18, 2026
    Website
    COMPASSFIN.NETreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    605-338-7150reportedpublic record, Form ADV, Aug 24, 2026
    Contact form
    compassfin.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    compassfin.net/our-teamreportedpublished 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
    $212Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026