COMPASS FINANCIAL ADVISORY SERVICES, LLC
Adviser information for COMPASS FINANCIAL ADVISORY SERVICES, LLC last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 751 | $325.3M |
| Non-Discretionary | 0 | $0 |
| Total | 751 | $325.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 547 | $137.5M |
| HNW Individuals | 204 | $187.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 3.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| COMPASS FINANCIAL ADVISORY SERVICES WRAP FEE PROGRAM | COMPASS FINANCIAL ADVISORY SERVICES, LLC |
Identifiers
| SEC RIA File Number | 801-123037 |
|---|---|
| SEC ERA File Number | 801-123037 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316843 |
| Legal Entity Identifier | None |
Principal Office
880 AIRPORT ROAD, SUITE 112AORMOND BEACH
FL
United States
Monday - Friday, 9-5
Tel: 888-673-5191, Fax: None
Chief Compliance Officer
TARA A. SANDERS
FINANCIAL ADVISOR, PRESIDENT
880 AIRPORT ROAD
SUITE 112A
ORMOND BEACH
FL
United States
Tel:
(888) 673-5191
T***@******************S
(Full email address available in API data)
Regulatory Contact
THOMAS MASSEBEAU, JR.
CEO
880 AIRPORT ROAD
SUITE 112A
ORMOND BEACH
FL
United States
Tel:
(888) 673-5191
T**@******************S
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SANDERS, TARA, ASHLEY | Individual | – | MANAGING MEMBER / PRESIDENT / CCO | 09/2021 | 50-75% |
| COMPASS FINANCIAL MANAGEMENT GROUP, INC. | Domestic Entity | – | MEMBER | 09/2021 | 25-50% |
| MASSEBEAU, THOMAS, CLYDE | Individual | COMPASS FINANCIAL MANAGEMENT GROUP, INC. | MANAGING MEMBER | 02/1996 | |
| MASSEBEAU, THOMAS, CLYDE | Individual | – | CEO | 09/2021 | < 5% |