COMPOUND GLOBAL ADVISORS, LLC
Adviser information for COMPOUND GLOBAL ADVISORS, LLC last updated from Form ADV on February 7th, 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 | Washington, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $599.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $599.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | <5 | $599.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | Fixed feesPerformance-based fees |
Principal Office
7570 SE 71ST STMERCER ISLAND
WA
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: (206) 432-2899, Fax: None
Websites
Chief Compliance Officer
WARWICK SIMONS
MANAGING MEMBER
7570 SE 71ST ST
MERCER ISLAND
WA
United States
Tel:
206-432-2899
W*@*************************M
(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 |
|---|---|---|---|---|---|
| SIMONS, WARWICK, DEAN | Individual | – | MANAGING MEMBER & CCO | 01/2022 | > 75% |
No. Employees, Historic
RAUM, Historic
Holdings
From latest 13F, filed April 22nd, 2024 for period ending March 31st, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 5M | 27K | – |
| ADVANCED MICRO DEVICES INC | COM | 5M | 29K | – |
| AGNICO EAGLE MINES LTD | COM | 15M | 254K | – |
| ALPHABET INC | CAP STK CL A | 30M | 199K | – |
| AMAZON COM INC | COM | 32M | 177K | – |
| APPLE INC | COM | 10M | 58K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 5M | 5K | – |
| ASTRAZENECA PLC | SPONSORED ADR | 3M | 51K | – |
| ATKORE INC | COM | 29M | 152K | – |
| AUTOZONE INC | COM | 10M | 3K | – |
| BOSTON SCIENTIFIC CORP | COM | 5M | 77K | – |
| BP PLC | SPONSORED ADR | 10M | 261K | – |
| CHENIERE ENERGY INC | COM NEW | 17M | 105K | – |
| COCA-COLA EUROPACIFIC PARTNE | SHS | 7M | 93K | – |
| CRH PLC | ORD | 27M | 310K | – |
| ELI LILLY & CO | COM | 8M | 10K | – |
| EQUIFAX INC | COM | 7M | 24K | – |
| FISERV INC | COM | 17M | 107K | – |
| FRANCO NEV CORP | COM | 17M | 140K | – |
| ISHARES TR | RUSSELL 2000 ETF | 105M | 500K | – |
| MASTERCARD INCORPORATED | CL A | 13M | 27K | – |
| MCKESSON CORP | COM | 10M | 18K | – |
| MERCK & CO INC | COM | 7M | 50K | – |
| META PLATFORMS INC | CL A | 27M | 55K | – |
| MICROSOFT CORP | COM | 35M | 84K | – |
| NOVO-NORDISK A S | ADR | 7M | 52K | – |
| NVIDIA CORPORATION | COM | 23M | 26K | – |
| PEPSICO INC | COM | 7M | 40K | – |
| PROCTER AND GAMBLE CO | COM | 4M | 28K | – |
| PULTE GROUP INC | COM | 28M | 236K | – |
| ROYAL CARIBBEAN GROUP | COM | 10M | 73K | – |
| ROYALTY PHARMA PLC | SHS CLASS A | 12M | 396K | – |
| S&P GLOBAL INC | COM | 5M | 11K | – |
| SALESFORCE INC | COM | 10M | 33K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 15M | 110K | – |
| ULTA BEAUTY INC | COM | 7M | 12K | – |
| UNITEDHEALTH GROUP INC | COM | 10M | 20K | – |
| VISA INC | COM CL A | 14M | 50K | – |
| WESTERN ALLIANCE BANCORP | COM | 32M | 501K | – |
| WILLSCOT MOBIL MINI HLDNG CO | COM CL A | 32M | 682K | – |