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 Wealth
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Dawn Carolyn Abernathy | Compass Wealth independent RIA | Core Planning independent RIA | RIA to RIA | Jun 10, 2026 | Jun 29, 2026 |
| Ronald Devries | Compass Wealth independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Apr 20, 2026 | May 29, 2026 (39 d) |
| Stephen Michael Chanez | Compass Wealth independent RIA | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 8, 2025 | Dec 8, 2025 |
| Catherine Harstick | Compass Wealth independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2024 | Dec 12, 2024 |
| Thomas C Elder | Compass Wealth independent RIA | Foundations Investment Advisors LLC independent RIA | RIA to RIA | Mar 5, 2024 | Mar 14, 2024 |
| Mark D Kaplan | Compass Wealth independent RIA | Park Avenue Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 1, 2024 | May 6, 2024 (95 d) |
| Darrell Springer | Compass Wealth independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 3, 2023 | Feb 29, 2024 (118 d) |
| Steven Michael Leonard | Compass Wealth independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Sep 22, 2023 | Oct 13, 2023 |
| Lavaisha Davis | Compass Wealth independent RIA | Ell Wess Advisors state registered | RIA to a state-registered adviser | Jul 21, 2023 | Jun 17, 2024 (332 d) |
| David S Ryan | Compass Wealth independent RIA | Fra Wealth Management LLC independent RIA | RIA to RIA | Jul 17, 2019 | Jul 25, 2019 |
| Patrick M Ritter | Compass Wealth independent RIA | Core Planning independent RIA | RIA to RIA | May 29, 2019 | Jun 27, 2019 |
| Justin C Rueter | Compass Wealth independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Feb 28, 2019 | May 10, 2019 (71 d) |
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12 moves match.