DFX Intelligence

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SEC-registered adviser

C•••••• P•••••• W••••• G•••• L••

Independent wealth managerShort Hills, New JerseyCRD 316785SEC 801-132197website IAPD

Latest filing Jun 11, 2026

First filing on the tape Sep 17, 2021 · 17 filings

SEC status approved since Apr 2, 2025

RAUM

$113M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

100%

$113M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$37.8M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$113M as of Jun 11, 2026

Mar 14, 2022$70.0M then

HNW client RAUM$107M as of Jun 11, 2026

Mar 14, 2022$70.0M then

State-registered IARs (5.B.3)3 as of Jun 11, 2026

Mar 14, 20223 then

Employees (5.A)3 as of Jun 11, 2026

Mar 14, 20223 then

Private funds: no history

RAUM +12% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Jun 11, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $37.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 27derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.6MderivedHNW RAUM over HNW clients
Average account: $437,629derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody: $11.1M, 28 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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$107M95%
Individuals$6.0M5.3%

Individual clients: 13reported
HNW clients: 67reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 259reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $11.1M for 28 clientsreported
Compensation: % of AUM, fixed, hourlyreported
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

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
W•••••• B•••• C••••••	Short Hills, Nj	Nov 9, 2021	15 y	3
M••••• R•••Certified Financial Planner	Short Hills, Nj	Nov 10, 2021	27 y	3
D••••• B••••••••• P•••••••	Short Hills, Nj	Jul 10, 2024	20 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 headcount1 left over 36 months

Left, latest

T••••• M• C••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 5, 2024 · RIA to wirehouse

Joined, latest

D••••• B••••••••• P••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 10, 2024 · Wirehouse to independent RIA
M••••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 10, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
W•••••• B•••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
T••••• M• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 8, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 5, 2021 · Florham Park, Nj

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• W••••••• B•••• · Managing Member / Managing Partnercontrol
since 11/2021 · owns 50% to 75%
C•••••• T•••••• M••••• · Chief Compliance Officercontrol
since 11/2021 · owns less than 5%
R•••• M••••• · Managing Member / Managing Partnercontrol
since 11/2021 · 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
Short Hills, Nj · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Jun 11, 2026
selection of other advisers (Item 5.G.7): no on the filing of 2026-03-25, yes on the filing of 2026-06-11
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Advisory activities · 4 to 5
Mar 25, 2026 to Jun 11, 2026
Accounts · 272 to 259
Oct 14, 2025 to Feb 2, 2026
HNW clients · 128 to 67
Oct 14, 2025 to Feb 2, 2026
Individual clients · unset to 13.0
Oct 14, 2025 to Feb 2, 2026
Assets in custody · $28.7M to $11.1M
Oct 14, 2025 to Feb 2, 2026
Discretionary RAUM · $101M to $110M
Oct 14, 2025 to Feb 2, 2026
HNW RAUM · $101M to $107M
Oct 14, 2025 to Feb 2, 2026
Individual RAUM · unset to 6002391.0
Oct 14, 2025 to Feb 2, 2026
Non-discretionary RAUM · $139,138 to $3.8M
Oct 14, 2025 to Feb 2, 2026
RAUM · $101M to $113M
Oct 14, 2025 to Feb 2, 2026
Advisory activities · 3 to 4
Mar 25, 2025 to Oct 14, 2025
Accounts · 95 to 272
Jul 7, 2022 to Mar 25, 2025
Advisory activities · 2 to 3
Jul 7, 2022 to Mar 25, 2025
HNW clients · 95 to 128
Jul 7, 2022 to Mar 25, 2025
Assets in custody · $1.0M to $28.7M
Jul 7, 2022 to Mar 25, 2025
Financial planning clients · 26-50 to 51-100
Jul 7, 2022 to Mar 25, 2025
Discretionary RAUM · $70.0M to $101M
Jul 7, 2022 to Mar 25, 2025
HNW RAUM · $70.0M to $101M
Jul 7, 2022 to Mar 25, 2025
Non-discretionary RAUM · $0 to $139,138
Jul 7, 2022 to Mar 25, 2025
RAUM · $70.0M to $101M
Jul 7, 2022 to Mar 25, 2025
Assets in custody · unset to 1000000.0
Feb 22, 2022 to Mar 14, 2022
Custody of client assets · false to true
Feb 22, 2022 to Mar 14, 2022
Insurance-licensed employees · 1 to 0
Feb 22, 2022 to Mar 14, 2022
Accounts · 0 to 95
Nov 4, 2021 to Feb 22, 2022
HNW clients · unset to 95.0
Nov 4, 2021 to Feb 22, 2022
Financial planning clients · 0 to 26-50
Nov 4, 2021 to Feb 22, 2022
Discretionary RAUM · $0 to $70.0M
Nov 4, 2021 to Feb 22, 2022
HNW RAUM · unset to 70000000.0
Nov 4, 2021 to Feb 22, 2022
RAUM · $0 to $70.0M
Nov 4, 2021 to Feb 22, 2022
Advisory employees · 1 to 3
Sep 23, 2021 to Oct 4, 2021
Employees · 1 to 3
Sep 23, 2021 to Oct 4, 2021
HQ city · MARSHFIELD to SHORT HILLS
Sep 23, 2021 to Oct 4, 2021
HQ state · MA to NJ
Sep 23, 2021 to Oct 4, 2021
State-registered IARs · 1 to 3
Sep 23, 2021 to Oct 4, 2021

Signals

6 dated events

T••••• M• C••••• left C•••••• P•••••• W••••• G•••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-11-07)
Aug 5, 2024 · Advisor changed firm · fact
M••••• T••••• C••••• (Chief Compliance Officer) appeared on Schedule A of C•••••• P•••••• W••••• G•••• L••
Nov 4, 2021 · Control person joined · fact
M••••• R••• (Managing Member / Managing Partner) appeared on Schedule A of C•••••• P•••••• W••••• G•••• L••
Nov 4, 2021 · Control person joined · fact
Brett William Ciccone (Managing Member / Managing Partner) appeared on Schedule A of C•••••• P•••••• W••••• G•••• L••
Nov 4, 2021 · Control person joined · fact
Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of C•••••• P•••••• W••••• G•••• L•• (listed 2021-10-08, absent 2021-11-04)
Nov 4, 2021 · Control person left · inference
C•••••• P•••••• W••••• G•••• L•• filed its initial SEC registration (Form ADV)
Sep 17, 2021 · 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 16, 2026
Business phone: 908-615-2251reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/compass-private-wealth-groupreportedpublic record, Form ADV, Jun 11, 2026
Website: c••••••••.comreportedpublic record, Form ADV, Jun 11, 2026
Principal office phone: (908) 615-2249reportedpublic record, Form ADV, Jun 11, 2026
Contact form: c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Team page: c••••••••.comreportedpublished 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: $37.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026