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•••••• A•••••••
Legal name C•••••• A••••••• G•••• L••
Latest filing Feb 19, 2026
First filing on the tape Apr 6, 2017 · 27 filings
SEC status approved since Apr 14, 2017
RAUM
$767M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
55%
$421M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$767M as of Feb 19, 2026
Mar 19, 2018$93.0M then
HNW client RAUM$300M as of Feb 19, 2026
Mar 19, 2018$50.0M then
State-registered IARs (5.B.3)5 as of Feb 19, 2026
Mar 19, 20183 then
Employees (5.A)7 as of Feb 19, 2026
Mar 19, 20186 then
Private funds: no history
RAUM +19% over the last fiscal year+25% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $666,229derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $326M, 194 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$338M44%
- High-net-worth individuals$300M39%
- Individuals$120M16%
- Corporations and businesses$9.2M1.2%
- Individual clients
- 240reported
- HNW clients
- 121reported
- Pension plan clients
- 161reported
- Charitable clients
- n/areported
- Accounts
- 1,152reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $326M for 194 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.55 fund_share=0.0 institutional_share=0.44 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• M••••••• K•••Certified Financial Planner | Melville, Ny | Feb 25, 2019 | 16 y | 2 |
| M•••••• A•••••• C••••Certified Financial Planner | Melville, Ny | Feb 25, 2019 | 23 y | 2 |
| J•••••• R••• B••••Certified Financial Planner | Melville, Ny | Jul 19, 2021 | 21 y | 1 |
| B•••••• L• H••• | Melville, Ny | Oct 14, 2021 | 21 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••••• L• H••• from P•••••••• S••••••••• I•••Oct 14, 2021 · Other
- J•••••• R••• B•••• from F••••• A•••••••• I••••••••• P••••••• L••Jul 19, 2021 · Other
- M•••••• A•••••• C•••• from L•• F•••••••• L••May 15, 2017 · Other
- L••••• M••••••• K••• from L•• F•••••••• L••May 15, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••May 31, 2017 · Melville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• M••••••• A•••••• · Managing Member, Partner, And Chief Investment Officercontrolsince 04/2017 · owns 50% to 75%
- K•••• L•••••• M••••••• · Managing Member, Partner, And Chief Compliance Officercontrolsince 04/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Melville, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,079 to 1,152May 29, 2025 to Feb 19, 2026
- HNW clients · 143 to 121May 29, 2025 to Feb 19, 2026
- Individual clients · 208 to 240May 29, 2025 to Feb 19, 2026
- Pension plan clients · 117 to 161May 29, 2025 to Feb 19, 2026
- Assets in custody · $267M to $326MMay 29, 2025 to Feb 19, 2026
- Employees · 6 to 7May 29, 2025 to Feb 19, 2026
- Discretionary RAUM · $430M to $506MMay 29, 2025 to Feb 19, 2026
- HNW RAUM · $292M to $300MMay 29, 2025 to Feb 19, 2026
- Individual RAUM · $68.5M to $120MMay 29, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $214M to $261MMay 29, 2025 to Feb 19, 2026
- Pension RAUM · $277M to $338MMay 29, 2025 to Feb 19, 2026
- RAUM · $644M to $767MMay 29, 2025 to Feb 19, 2026
- Financial planning clients · 1-10 to 1-10Mar 3, 2025 to May 29, 2025
- Accounts · 1,014 to 1,079Aug 5, 2024 to Mar 3, 2025
- Corporate clients · unset to 6.0Aug 5, 2024 to Mar 3, 2025
- HNW clients · 123 to 143Aug 5, 2024 to Mar 3, 2025
- Individual clients · 222 to 208Aug 5, 2024 to Mar 3, 2025
- Pension plan clients · 114 to 117Aug 5, 2024 to Mar 3, 2025
- Assets in custody · $162M to $267MAug 5, 2024 to Mar 3, 2025
- Employees · 7 to 6Aug 5, 2024 to Mar 3, 2025
- Other offices · 0 to 1Aug 5, 2024 to Mar 3, 2025
- Discretionary RAUM · $342M to $430MAug 5, 2024 to Mar 3, 2025
- HNW RAUM · $233M to $292MAug 5, 2024 to Mar 3, 2025
- Individual RAUM · $60.2M to $68.5MAug 5, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $175M to $214MAug 5, 2024 to Mar 3, 2025
- Pension RAUM · $217M to $277MAug 5, 2024 to Mar 3, 2025
- RAUM · $517M to $644MAug 5, 2024 to Mar 3, 2025
- Accounts · 896 to 1,014Aug 14, 2023 to Feb 16, 2024
- Corporate clients · 2.0 to unsetAug 14, 2023 to Feb 16, 2024
- HNW clients · 106 to 123Aug 14, 2023 to Feb 16, 2024
- Individual clients · 213 to 222Aug 14, 2023 to Feb 16, 2024
- Pension plan clients · 86 to 114Aug 14, 2023 to Feb 16, 2024
- Assets in custody · $98.9M to $162MAug 14, 2023 to Feb 16, 2024
- Employees · 6 to 7Aug 14, 2023 to Feb 16, 2024
- Discretionary RAUM · $250M to $342MAug 14, 2023 to Feb 16, 2024
- HNW RAUM · $172M to $233MAug 14, 2023 to Feb 16, 2024
- Individual RAUM · $46.3M to $60.2MAug 14, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $142M to $175MAug 14, 2023 to Feb 16, 2024
- Pension RAUM · $168M to $217MAug 14, 2023 to Feb 16, 2024
- RAUM · $392M to $517MAug 14, 2023 to Feb 16, 2024
Signals
3 dated events
- C•••••• A••••••• reported RAUM $516.5M, up 32% from $392.3M (2023-08-14 to 2024-02-16)Feb 16, 2024 · RAUM change · derived
- C•••••• A••••••• reported RAUM $293.9M, up 59% from $184.3M (2020-06-25 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- C•••••• A••••••• filed its initial SEC registration (Form ADV)Apr 6, 2017 · 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
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 516-938-2400reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/compassadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (516) 938-2400reportedpublic record, Form ADV, Feb 19, 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026