Compass Financial Management LLC

RIASEC Registered
Total AUM
$894M
Discretionary
$894M
100% of AUM
Avg account
$235K
Accounts
3,799
Employees
33
Advisory reps
46

Firm details

Headquarters
Tampa, Florida
CRD number
156345
Registered since
March 6, 2020
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM
Client types
  • HNWI49.67%
  • Individuals44.98%
  • Pension & Profit Sharing Plans3.29%
  • Corporations / Businesses2.06%
Services
Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Compass Financial Management LLC is an independent, owner-operated registered investment adviser that registered with the SEC in 2020. The firm serves both individual and family clients as well as institutional clients and charges fees based on a percentage of assets under management. Its advisory scope emphasizes financial planning, portfolio management for individuals and small businesses, and pension consulting services; the firm also operates as an insurance broker. Compass identifies a preference for equity investing and does not position itself as a capital allocator or an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 79%, Public Funds/Mutual Funds 12%, Private Funds 3%, Cash & Cash Equivalents 3%, Investment Grade Corp Bonds 2%, US Government Bonds 1%79%
  • Exchange Traded Equities79%
  • Public Funds/Mutual Funds12%
  • Private Funds3%
  • Cash & Cash Equivalents3%
  • Investment Grade Corp Bonds2%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 736

Active vs passive

$533M in ETFs

Passive

78%

$414M

Active

16%

$118M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) TECHNOLOGY SELECT SECTOR SPDR(R) ETF (XLK)State StreetPassiveTechnology$20.6M108,7753.87%

Location

Primary office

Tampa, FL

Hillsborough

Location

Tampa, FL

Headquartered in Tampa, FL, in the South of the United States.

Region
South
County
Hillsborough
Address
2422 W Sunset Dr
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth