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•••••• F•••••••• G••••• I••
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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D•••• H•••••Certified Financial Planner, Chartered Financial Consultant | Sioux Falls, Sd | Apr 21, 2016 | 46 y | 3 |
| J•••• D•••• H•••••Certified Financial Planner, Chartered Financial Consultant | Sioux Falls, Sd | Apr 21, 2016 | 14 y | 1 |
| J•••• D•••• H•••••Certified Financial Planner, Chartered Financial Consultant | Sioux Falls, Sd | Apr 21, 2016 | 17 y | 2 |
| C•••• B••• S•••••Certified Financial Planner, Chartered Financial Consultant | Sioux Falls, Sd | Jun 21, 2019 | 14 y | 0 |
| A••••• M•••• T•••••Chartered Financial Consultant | Sioux Falls, Sd | Aug 3, 2021 | 11 y | 0 |
| E•••••• M•••• K•••••••••Certified Financial Planner, Chartered Financial Consultant | Sioux Falls, Sd | Apr 12, 2022 | 14 y | 0 |
| J••• A••••• | Sioux Falls, Sd | Apr 8, 2024 | 10 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
none on the tape
Joined, latest
- J•••• D•••• H••••• from B••••••••• L••May 10, 2011 · Other
- J••• D•••• H••••• from B••••••••• L••May 10, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• D•••• · Direct Ownercontrolsince 05/2015 · owns 25% to 50%
- H•••••• J••••• D•••• · Vice President & Direct Ownercontrolsince 03/2011 · owns 25% to 50%
- H•••••• J•••• D•••• · President, Chief Compliance Officer, & Direct Ownercontrolsince 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sioux Falls, Sd · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.5B to $1.5BJul 30, 2026 to Aug 24, 2026
- Individual RAUM · $546M to $547MJul 30, 2026 to Aug 24, 2026
- RAUM · $1.5B to $1.5BJul 30, 2026 to Aug 24, 2026
- Accounts · 8,015 to 2,826Nov 13, 2025 to Jul 30, 2026
- Corporate clients · unset to 10.0Nov 13, 2025 to Jul 30, 2026
- HNW clients · 276 to 304Nov 13, 2025 to Jul 30, 2026
- Individual clients · 2,399 to 2,512Nov 13, 2025 to Jul 30, 2026
- Assets in custody · $581M to $795MNov 13, 2025 to Jul 30, 2026
- Discretionary RAUM · $1.2B to $1.5BNov 13, 2025 to Jul 30, 2026
- HNW RAUM · $736M to $925MNov 13, 2025 to Jul 30, 2026
- Individual RAUM · $488M to $546MNov 13, 2025 to Jul 30, 2026
- RAUM · $1.2B to $1.5BNov 13, 2025 to Jul 30, 2026
- Accounts · 2,385 to 8,015May 8, 2024 to Jul 1, 2025
- Advisory activities · 4 to 3May 8, 2024 to Jul 1, 2025
- Corporate clients · 10.0 to unsetMay 8, 2024 to Jul 1, 2025
- HNW clients · 25 to 276May 8, 2024 to Jul 1, 2025
- Individual clients · 2,350 to 2,399May 8, 2024 to Jul 1, 2025
- Assets in custody · unset to 580864000.0May 8, 2024 to Jul 1, 2025
- Custody of client assets · false to trueMay 8, 2024 to Jul 1, 2025
- Employees · 7 to 13May 8, 2024 to Jul 1, 2025
- Financial planning clients · More than 500 to More than 500May 8, 2024 to Jul 1, 2025
- Discretionary RAUM · $995M to $1.2BMay 8, 2024 to Jul 1, 2025
- HNW RAUM · $150M to $736MMay 8, 2024 to Jul 1, 2025
- Individual RAUM · $835M to $488MMay 8, 2024 to Jul 1, 2025
- RAUM · $995M to $1.2BMay 8, 2024 to Jul 1, 2025
- Accounts · 2,300 to 2,385Aug 11, 2023 to May 8, 2024
- Advisory employees · 6 to 7Aug 11, 2023 to May 8, 2024
- Individual clients · 2,265 to 2,350Aug 11, 2023 to May 8, 2024
- Employees · 6 to 7Aug 11, 2023 to May 8, 2024
- State-registered IARs · 6 to 7Aug 11, 2023 to May 8, 2024
- Discretionary RAUM · $807M to $995MAug 11, 2023 to May 8, 2024
- Individual RAUM · $647M to $835MAug 11, 2023 to May 8, 2024
- RAUM · $807M to $995MAug 11, 2023 to May 8, 2024
- Accounts · 5,700 to 2,300May 12, 2022 to May 3, 2023
- HNW clients · 75 to 25May 12, 2022 to May 3, 2023
- Individual clients · 2,350 to 2,265May 12, 2022 to May 3, 2023
- Discretionary RAUM · $760M to $807MMay 12, 2022 to May 3, 2023
- Individual RAUM · $600M to $647MMay 12, 2022 to May 3, 2023
- RAUM · $760M to $807MMay 12, 2022 to May 3, 2023
- Accounts · 2,500 to 5,700May 31, 2021 to May 11, 2022
Signals
1 dated events
- C•••••• F•••••••• G••••• I•• 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
- H•••••••••reportedpublic 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