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.

Advisor moves

Departures from Compass Financial Management LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
David Alan KingCompass Financial Management LLC independent RIALPL Enterprise, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 18, 2026May 6, 2026
Donald Michael ParaccaCompass Financial Management LLC independent RIAParacca Financial Group state registeredRIA to a state-registered adviserApr 1, 2026Dec 5, 2025
Joe StromCompass Financial Management LLC independent RIAStonebriar Wealth, LLC independent RIARIA to RIAMar 3, 2026Feb 27, 2026
David MorganCompass Financial Management LLC independent RIASimplicity Wealth mixed wealthRIA to RIAMar 2, 2026Jan 13, 2026
Kelvin Ray DouglasCompass Financial Management LLC independent RIADmk Advisor Group, Inc. independent RIARIA to RIADec 5, 2025Jan 5, 2022
Sunil Dutt MisraCompass Financial Management LLC independent RIADmk Advisor Group, Inc. independent RIARIA to RIAOct 7, 2025Jul 2, 2025
Janak R DesaiCompass Financial Management LLC independent RIADmk Advisor Group, Inc. independent RIARIA to RIAJul 28, 2025Jul 7, 2025
Maurice Hamilton PattersonCompass Financial Management LLC independent RIAMayflower Advisors mixed wealthRIA to RIAJan 16, 2024Apr 14, 2026 (819 d)
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8 moves match.