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
Wealth Compass Financial, Inc.
Latest filing Apr 27, 2026
First filing on the tape Jan 21, 2026 · 3 filings
SEC status approved since Jan 21, 2026
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$113M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$57.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$115M as of Apr 27, 2026
Jan 21, 2026$106M then
HNW client RAUM$60.9M as of Apr 27, 2026
Jan 21, 2026$50.1M then
State-registered IARs (5.B.3)2 as of Apr 27, 2026
Jan 21, 20262 then
Employees (5.A)2 as of Apr 27, 2026
Jan 21, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 27, 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
- RAUM per advisor
- $57.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $203,171derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$60.9M53%
- Individuals$52.2M45%
- Pension and profit-sharing plans$2.3M2.0%
- Individual clients
- 198reported
- HNW clients
- 38reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 568reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Tod Leighton Lenhoff | Carlsbad, Ca | Sep 27, 2021 | 28 y | 5 |
| Steven Thomas Nuckols | Carlsbad, Ca | Feb 4, 2026 | 11 y | 2 |
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
- Tod Leighton Lenhoff from Madison Avenue Securities, LLCSep 27, 2021 · Other
- Steven Thomas Nuckols from Gunderson Capital ManagementNov 8, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Steven Nuckols · President & Chief Compliance Officercontrolsince 09/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 546 to 568Jan 21, 2026 to Mar 20, 2026
- HNW clients · 30 to 38Jan 21, 2026 to Mar 20, 2026
- Individual clients · 183 to 198Jan 21, 2026 to Mar 20, 2026
- Pension plan clients · 13 to 15Jan 21, 2026 to Mar 20, 2026
- Discretionary RAUM · $106M to $115MJan 21, 2026 to Mar 20, 2026
- HNW RAUM · $50.1M to $60.9MJan 21, 2026 to Mar 20, 2026
- Individual RAUM · $53.6M to $52.2MJan 21, 2026 to Mar 20, 2026
- Non-discretionary RAUM · $0 to $146,699Jan 21, 2026 to Mar 20, 2026
- Pension RAUM · $2.1M to $2.3MJan 21, 2026 to Mar 20, 2026
- RAUM · $106M to $115MJan 21, 2026 to Mar 20, 2026
Signals
No event on the tape.
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
- info@wealthcompass.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 760-509-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 760-509-4646reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/11350803reportedpublic record, Form ADV, Sep 17, 2026
- Website
- wealthcompass.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 760-509-4000reportedpublic record, Form ADV, Apr 27, 2026
- Team page
- wealthcompass.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $57.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026