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 Wealth

Independent wealth managerSt. Louis, MissouriCRD 282420SEC 801-124696websiteIAPD
Legal name Compass Retirement Group LLC
Latest filing Aug 28, 2026
First filing on the tape Mar 22, 2022 · 19 filings
SEC status approved since Apr 21, 2022
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$16.0M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$112M as of Aug 28, 2026
Mar 7, 2023$85.6M then
HNW client RAUM$13.2M as of Aug 28, 2026
Mar 7, 2023$1.1M then
State-registered IARs (5.B.3)7 as of Aug 28, 2026
Mar 7, 20237 then
Employees (5.A)9 as of Aug 28, 2026
Mar 7, 202318 then
Private funds: no history
RAUM +20% over the last fiscal year+9.3% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$16.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
109derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$119,127derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$224MreportedItem 5.I
Custody
$1.1M, 12 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)
  • 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
  • Individuals$98.7M88%
  • High-net-worth individuals$13.2M12%
Individual clients
757reported
HNW clients
9reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
939reported
Financial planning clients
0reported
Wrap fee programs
$112M sponsored, $112M managedreported
Custody of client assets
$1.1M for 12 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 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
Marvin L. MitchellSt. Louis, MoFeb 22, 201619 y4
Airionne Renee SolankeCertified Financial PlannerSt Louis, Mo Dec 22, 201710 y1
Tamara Andrea DickersonSt. Louis, MoApr 29, 202219 y0
Poonnasa CornCertified Financial PlannerSt. Louis, MoFeb 27, 202611 y1
Vincent ButtaroTopeka, Ks May 22, 202612 y3
Tracy Lynn SullivanSt. Louis, MoJul 22, 202612 y1
Dossie JenningsSt. Louis, MoSep 7, 202616 y1
Advisor movement
3 left, 5 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 43% of current headcount8 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L. Marvin Mitchell · Managing Membercontrol
    since 11/2015 · owns 75% or more
  • Renee Airionne Solanke · Chief Compliance Officer
    since 05/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
St Louis, Mo743
Atlanta, Ga000
Offices
Schedule D 1.F, the 25 largest
  • Atlanta, GA3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • account count collapseChange between filings · filing Feb 23, 2026
    accounts (Item 5.F.2.f) moved from 2,603.0 to 939.0 (-64.0%) between the annual amendments of 2025-03-12 and 2026-02-23; the peer median change was +5.0% (3688 comparable advisers, 2.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (3,688) · 1.5% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Business name · COMPASS RETIREMENT GROUP LLC to COMPASS WEALTH
    Jul 15, 2026 to Aug 28, 2026
  • Assets in custody · $2.2M to $1.1M
    May 22, 2026 to Jul 15, 2026
  • Accounts · 2,603 to 939
    Mar 12, 2025 to Feb 23, 2026
  • Advisory employees · 6 to 7
    Mar 12, 2025 to Feb 23, 2026
  • HNW clients · 5 to 9
    Mar 12, 2025 to Feb 23, 2026
  • Individual clients · 669 to 757
    Mar 12, 2025 to Feb 23, 2026
  • Assets in custody · $61,000 to $2.2M
    Mar 12, 2025 to Feb 23, 2026
  • Financial planning clients · 51-100 to 0
    Mar 12, 2025 to Feb 23, 2026
  • State-registered IARs · 6 to 7
    Mar 12, 2025 to Feb 23, 2026
  • Discretionary RAUM · $93.5M to $112M
    Mar 12, 2025 to Feb 23, 2026
  • HNW RAUM · $7.9M to $13.2M
    Mar 12, 2025 to Feb 23, 2026
  • Individual RAUM · $85.6M to $98.7M
    Mar 12, 2025 to Feb 23, 2026
  • RAUM · $93.5M to $112M
    Mar 12, 2025 to Feb 23, 2026
  • Wrap assets (manager) · $93.5M to $112M
    Mar 12, 2025 to Feb 23, 2026
  • Wrap assets (sponsor) · $93.5M to $112M
    Mar 12, 2025 to Feb 23, 2026
  • Accounts · 2,815 to 2,603
    Dec 13, 2024 to Mar 12, 2025
  • Individual clients · 781 to 669
    Dec 13, 2024 to Mar 12, 2025
  • Assets in custody · unset to 61000.0
    Dec 13, 2024 to Mar 12, 2025
  • Custody of client assets · false to true
    Dec 13, 2024 to Mar 12, 2025
  • Financial planning clients · 51-100 to 51-100
    Dec 13, 2024 to Mar 12, 2025
  • Discretionary RAUM · $99.4M to $93.5M
    Dec 13, 2024 to Mar 12, 2025
  • HNW RAUM · $6.9M to $7.9M
    Dec 13, 2024 to Mar 12, 2025
  • Individual RAUM · $92.5M to $85.6M
    Dec 13, 2024 to Mar 12, 2025
  • RAUM · $99.4M to $93.5M
    Dec 13, 2024 to Mar 12, 2025
  • Wrap assets (manager) · $99.4M to $93.5M
    Dec 13, 2024 to Mar 12, 2025
  • Wrap assets (sponsor) · $99.4M to $93.5M
    Dec 13, 2024 to Mar 12, 2025
  • Advisory employees · 3 to 6
    Mar 28, 2024 to Jun 5, 2024
  • Employees · 6 to 9
    Mar 28, 2024 to Jun 5, 2024
  • Financial planning clients · unset to 51-100
    Mar 28, 2024 to Jun 5, 2024
  • State-registered IARs · 0 to 6
    Mar 28, 2024 to Jun 5, 2024
  • Wrap assets (manager) · unset to 99385949.0
    Mar 28, 2024 to Jun 5, 2024
  • Wrap assets (sponsor) · unset to 99385949.0
    Mar 28, 2024 to Jun 5, 2024
  • Accounts · 805 to 2,815
    Feb 5, 2024 to Mar 28, 2024
  • Advisory employees · 7 to 3
    Feb 5, 2024 to Mar 28, 2024
  • HNW clients · 1 to 5
    Feb 5, 2024 to Mar 28, 2024
  • Individual clients · 804 to 781
    Feb 5, 2024 to Mar 28, 2024
  • Employees · 18 to 6
    Feb 5, 2024 to Mar 28, 2024
  • State-registered IARs · 7 to 0
    Feb 5, 2024 to Mar 28, 2024
  • Discretionary RAUM · $85.6M to $99.4M
    Feb 5, 2024 to Mar 28, 2024
  • HNW RAUM · $1.1M to $6.9M
    Feb 5, 2024 to Mar 28, 2024
Signals
12 dated events
  • Dawn Carolyn Abernathy left Compass Wealth for Core Planning (registered 2026-06-29)
    Jun 10, 2026 · Advisor changed firm · fact
  • Ronald Devries left Compass Wealth for J.P. Morgan Securities Llc (registered 2026-05-29)
    Apr 20, 2026 · Advisor changed firm · fact
  • Stephen Michael Chanez left Compass Wealth for Citigroup Global Markets Inc. (registered 2025-12-08)
    Dec 8, 2025 · Advisor changed firm · fact
  • Catherine Harstick left Compass Wealth for Valic Financial Advisors, Inc. (registered 2024-12-12)
    Dec 11, 2024 · Advisor changed firm · fact
  • Lee Robert Hopkins (Chief Compliance Officer) no longer on Schedule A of Compass Wealth (listed 2024-02-05, absent 2024-03-28)
    Mar 28, 2024 · Control person left · inference
  • Thomas C Elder left Compass Wealth for Foundations Investment Advisors Llc (registered 2024-03-14)
    Mar 5, 2024 · Advisor changed firm · fact
  • Mark D Kaplan left Compass Wealth for Park Avenue Securities Llc (registered 2024-05-06)
    Feb 1, 2024 · Advisor changed firm · fact
  • Darrell Springer left Compass Wealth for Cetera Investment Advisers Llc (registered 2024-02-29)
    Nov 3, 2023 · Advisor changed firm · fact
  • Steven Michael Leonard left Compass Wealth for Edward Jones (registered 2023-10-13)
    Sep 22, 2023 · Advisor changed firm · fact
  • Lavaisha Davis left Compass Wealth for Ell Wess Advisors (registered 2024-06-17)
    Jul 21, 2023 · Advisor changed firm · fact
  • Lee Robert Hopkins (Chief Compliance Officer) appeared on Schedule A of Compass Wealth
    Oct 26, 2022 · Control person joined · fact
  • Compass Retirement Group Llc filed its initial SEC registration (Form ADV)
    Mar 22, 2022 · 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
Firm profile
linkedin.com/company/compass-retirement-solutions-llcreportedpublic record, Form ADV, Sep 17, 2026
Website
compasswealth.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
314-373-1598reportedpublic record, Form ADV, Aug 28, 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
$16.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026