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•••••• F•••••••• A••••••• S•••••••• L••
Latest filing Aug 12, 2026
First filing on the tape Dec 13, 2021 · 26 filings
SEC status approved since Jan 13, 2022
RAUM
$527M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$527M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$87.9M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$527M as of Aug 12, 2026
Mar 24, 2023$296M then
HNW client RAUM$368M as of Aug 12, 2026
Mar 24, 2023$135M then
State-registered IARs (5.B.3)6 as of Aug 12, 2026
Mar 24, 20232 then
Employees (5.A)11 as of Aug 12, 2026
Mar 24, 20233 then
Private funds: no history
RAUM +19% over the last fiscal year+21% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Aug 12, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $87.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $511,305derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $527MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$368M70%
- Individuals$159M30%
- Individual clients
- 669reported
- HNW clients
- 362reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,031reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• A••••• S••••••Certified Financial Planner | Ormond Beach, Fl | Feb 7, 2022 | 31 y | 6 |
| L••••• R••• T•••••••Certified Financial Planner | Ormond Beach, Fl | Feb 15, 2022 | 20 y | 7 |
| B•••• S••••• B•••• | Ormond Beach, Fl | Oct 20, 2022 | 30 y | 0 |
| J••• R•••••• C••••• | Ormond Beach, Fl | Jan 17, 2024 | 10 y | 0 |
| S•••• N••• M••••• | Ormond Beach, Fl | Aug 15, 2024 | 19 y | 0 |
| M•••••••• J•••••• H•••••• | Ormond Beach, Fl | Jun 5, 2025 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- P•••••• J•••• T•••• to R••••• S•••• I••••••••• S••••••••Aug 30, 2026 · RIA to a state-registered adviser
- J••• P• K•••••• to P••• A••••• S••••••••• L••Sep 17, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- P•••••• J•••• T•••• from M•••••••• A•••••••May 5, 2025 · RIA to RIA
- L••••• R••• T••••••• from I•••••••• A•••••••• L••Feb 15, 2022 · RIA to a newly registered adviser
- T••• A••••• S•••••• from I•••••••• A•••••••• L••Feb 7, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• T•••••• C•••• · Presidentcontrolsince 09/2021 · owns less than 5%
- S••••••• T•••• A••••• · Managing Member / Ceo / Ccocontrolsince 09/2021 · owns 50% to 75%
- M••••••••• T•••••• C•••• · Managing Membercontrolsince 02/1996 · owns F of C•••••• F•••••••• M••••••••• G••••• I•••
Entity owners
- C•••••• F•••••••• M••••••••• G••••• I••• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Ormond Beach, Fl · principal | 6 | 0 | 0 | ||
| North Myrtle Beach, Sc | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Feb 17, 2026 to Aug 12, 2026
- Employees · 12 to 11Feb 17, 2026 to Aug 12, 2026
- State-registered IARs · 7 to 6Feb 17, 2026 to Aug 12, 2026
- Accounts · 941 to 1,031Jul 14, 2025 to Feb 17, 2026
- HNW clients · 329 to 362Jul 14, 2025 to Feb 17, 2026
- Individual clients · 612 to 669Jul 14, 2025 to Feb 17, 2026
- Discretionary RAUM · $441M to $522MJul 14, 2025 to Feb 17, 2026
- HNW RAUM · $326M to $368MJul 14, 2025 to Feb 17, 2026
- Individual RAUM · $117M to $159MJul 14, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $3.0M to $5.1MJul 14, 2025 to Feb 17, 2026
- RAUM · $444M to $527MJul 14, 2025 to Feb 17, 2026
- Financial planning clients · 0 to 0May 28, 2025 to Jul 14, 2025
- Advisory employees · 4 to 7Apr 27, 2025 to May 28, 2025
- Employees · 10 to 12Apr 27, 2025 to May 28, 2025
- State-registered IARs · 4 to 7Apr 27, 2025 to May 28, 2025
- Accounts · 886 to 941Jan 16, 2025 to Apr 27, 2025
- HNW clients · 204 to 329Jan 16, 2025 to Apr 27, 2025
- Individual clients · 682 to 612Jan 16, 2025 to Apr 27, 2025
- Discretionary RAUM · $350M to $441MJan 16, 2025 to Apr 27, 2025
- HNW RAUM · $188M to $326MJan 16, 2025 to Apr 27, 2025
- Individual RAUM · $166M to $117MJan 16, 2025 to Apr 27, 2025
- Non-discretionary RAUM · $4.1M to $3.0MJan 16, 2025 to Apr 27, 2025
- RAUM · $354M to $444MJan 16, 2025 to Apr 27, 2025
- Accounts · 751 to 886Dec 23, 2024 to Dec 23, 2024
- Individual clients · 547 to 682Dec 23, 2024 to Dec 23, 2024
- Discretionary RAUM · $325M to $350MDec 23, 2024 to Dec 23, 2024
- Individual RAUM · $137M to $166MDec 23, 2024 to Dec 23, 2024
- Non-discretionary RAUM · $0 to $4.1MDec 23, 2024 to Dec 23, 2024
- RAUM · $325M to $354MDec 23, 2024 to Dec 23, 2024
- Accounts · 798 to 751Sep 6, 2023 to Jan 24, 2024
- Advisory employees · 2 to 4Sep 6, 2023 to Jan 24, 2024
- HNW clients · 180 to 204Sep 6, 2023 to Jan 24, 2024
- Individual clients · 569 to 547Sep 6, 2023 to Jan 24, 2024
- Employees · 3 to 10Sep 6, 2023 to Jan 24, 2024
- Insurance-licensed employees · 2 to 0Sep 6, 2023 to Jan 24, 2024
- State-registered IARs · 2 to 4Sep 6, 2023 to Jan 24, 2024
- Discretionary RAUM · $292M to $325MSep 6, 2023 to Jan 24, 2024
- HNW RAUM · $135M to $188MSep 6, 2023 to Jan 24, 2024
- Individual RAUM · $161M to $137MSep 6, 2023 to Jan 24, 2024
- Non-discretionary RAUM · $4.4M to $0Sep 6, 2023 to Jan 24, 2024
Signals
3 dated events
- P•••••• J•••• T•••• left C•••••• F•••••••• A••••••• S•••••••• L•• for R••••• S•••• I••••••••• S•••••••• (registered 2026-07-27)Aug 30, 2026 · Advisor changed firm · fact
- J••• P• K•••••• left C•••••• F•••••••• A••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2025-12-22)Sep 17, 2025 · Advisor changed firm · fact
- C•••••• F•••••••• A••••••• G•••• filed its initial SEC registration (Form ADV)Dec 13, 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
- Website
- compassfinancial.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (386) 673-5191reportedpublic record, Form ADV, Aug 12, 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
- $87.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026