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•••••• G•••• M••••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Jul 3, 2013 · 21 filings
SEC status approved since Aug 14, 2013
RAUM
$3.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.0B as of Jul 14, 2026
Mar 31, 2014$590M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Mar 31, 20140 then
Employees (5.A)25 as of Jul 14, 2026
Mar 31, 201427 then
Private funds: no history
RAUM -25% over the last fiscal year-7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $1.9B, 1 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$3.0B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9B for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• P••••••• A• · Chief Operating Officercontrolsince 04/2019 · owns less than 5%
- S•••• E••••• J••••• · Manager And Trustee Of S••• F••••• T••••controlsince 05/2018 · owns less than 5%
- S•••• E••••• J••••• · Trusteecontrolsince 05/2018 · owns F of S••• F••••• T••••
- M••••••• I••• J•••••• M••••• · Membersince 11/2005 · owns 10% to 25%
- O••••••••• A•••• B••••••• · Membersince 11/2005 · owns 10% to 25%
- R•••• C•••••• W•••••• · Chief Compliance Officersince 07/2013 · owns less than 5%
- S••••••• D••••• P••• · Membersince 11/2005 · owns 5% to 10%
Entity owners
- S••• F••••• T•••• · Memberdirect · owns 25% to 50%
- S••• F••••• T•••• · Memberindirect · owns 25% to 50% of S••• F••••• T••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Costa Mesa, CA8 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 14, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
- employee count dropChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 46.0 to 25.0 (-46.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was 0.0% (152 comparable advisers, 2.0th percentile of changes)peers: other advisers, $1B to $5B (152) · 2.0% percentile
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $4,052,422,000 to $3,039,184,000 (-25.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +11.0% (231 comparable advisers, 7.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 7.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 15 to 7Nov 7, 2025 to Mar 30, 2026
- Assets in custody · $1.8B to $1.9BNov 7, 2025 to Mar 30, 2026
- Employees · 46 to 25Nov 7, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.1B to $3.0BNov 7, 2025 to Mar 30, 2026
- RAUM · $4.1B to $3.0BNov 7, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 9, 2025 to Jul 18, 2025
- Advisory employees · 18 to 15Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $2.1B to $1.8BMar 29, 2024 to Mar 28, 2025
- Employees · 42 to 46Mar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $3.8B to $4.1BMar 29, 2024 to Mar 28, 2025
- RAUM · $3.8B to $4.1BMar 29, 2024 to Mar 28, 2025
- Assets in custody · $1.9B to $2.1BMar 31, 2023 to Mar 29, 2024
- Employees · 41 to 42Mar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.8B to $3.8BMar 31, 2023 to Mar 29, 2024
- RAUM · $3.8B to $3.8BMar 31, 2023 to Mar 29, 2024
- Advisory employees · 14 to 18Mar 31, 2022 to Mar 31, 2023
- Charity clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Corporate clients · 1.0 to unsetMar 31, 2022 to Mar 31, 2023
- HNW clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Individual clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $1.4B to $1.9BMar 31, 2022 to Mar 31, 2023
- Employees · 37 to 41Mar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $3.1B to $3.8BMar 31, 2022 to Mar 31, 2023
- RAUM · $3.1B to $3.8BMar 31, 2022 to Mar 31, 2023
- Advisory employees · 11 to 14Mar 29, 2021 to Mar 31, 2022
- Assets in custody · $918M to $1.4BMar 29, 2021 to Mar 31, 2022
- Employees · 32 to 37Mar 29, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $2.6B to $3.1BMar 29, 2021 to Mar 31, 2022
- RAUM · $2.6B to $3.1BMar 29, 2021 to Mar 31, 2022
- Assets in custody · $469M to $918MMar 26, 2020 to Mar 29, 2021
- Employees · 30 to 32Mar 26, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $1.9B to $2.6BMar 26, 2020 to Mar 29, 2021
- RAUM · $1.9B to $2.6BMar 26, 2020 to Mar 29, 2021
- Advisory employees · 10 to 11Mar 29, 2019 to Mar 26, 2020
- Assets in custody · $1.1B to $469MMar 29, 2019 to Mar 26, 2020
- Employees · 27 to 30Mar 29, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $919M to $1.9BMar 29, 2019 to Mar 26, 2020
- RAUM · $919M to $1.9BMar 29, 2019 to Mar 26, 2020
Signals
5 dated events
- C•••••• G•••• M••••••••• L•• reported RAUM $3.0B, down 25% from $4.1B (2025-11-07 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- C•••••• G•••• M••••••••• L•• reported RAUM $2.6B, up 37% from $1.9B (2020-03-26 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- C•••••• G•••• M••••••••• L•• reported RAUM $1.9B, up 106% from $919.3M (2019-03-29 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- A Patrick Maciariello (Chief Operating Officer) appeared on Schedule A of C•••••• G•••• M••••••••• L••Mar 26, 2020 · Control person joined · fact
- C•••••• G•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 3, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• G•••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/the-compass-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••DIVERSIFIED.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203.221.1703reportedpublic record, Form ADV, Jul 14, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026