COMPASS CAPITAL CORPORATION
Adviser information for COMPASS CAPITAL CORPORATION last updated from Form ADV on November 15th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 16 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,331 | $424.9M |
| Non-Discretionary | 8 | $50.6M |
| Total | 1,339 | $475.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,248 | $219.7M |
| HNW Individuals | 86 | $248.6M |
| 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 | 5 | $7.2M |
| 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 | 1339 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-21957 |
|---|---|
| SEC ERA File Number | 801-21957 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112323 |
| Legal Entity Identifier | None |
Principal Office
50 BRAINTREE HILL OFFICE PARKSUITE 105
BRAINTREE
MA
United States
Monday - Friday, 9 TO 5
Tel: 781-535-6083, Fax: 781-535-6084
Chief Compliance Officer
TIMOTHY F SHANAHAN
PRESIDENT
50 BRAINTREE HILL PARK
SUITE 105
BRAINTREE
MA
United States
Tel:
781-971-8736
Fax:
781-535-6084
T**@****************O
(Full email address available in API data)
Regulatory Contact
TIMOTHY F SHANAHAN
PRESIDENT
50 BRAINTREE HILL OFFICE PARK
SUITE 105
BRAINTREE
MA
United States
Tel:
781-971-8736
Fax:
781-535-6084
T**@****************O
(Full email address available in API data)
Industry Affiliates
| COMPASS SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| COMPASS SECURITIES INSURANCE AGENCY INC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHANAHAN, TIMOTHY, FRANCIS | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 07/1984 | < 5% |
| AHERN, JOHN, RAYMOND | Individual | – | VICE PRESIDENT | 01/1994 | < 5% |
| CHAISSON, SCOTT, STEPHEN | Individual | – | SHAREHOLDER | 07/2015 | < 5% |
| COMPASS HOLDING GROUP INC. | Domestic Entity | – | OWNER | 08/2015 | > 75% |
| JOLY, WALTER, KING | Individual | COMPASS CAPITAL CORPORATION | INVESTMENT ADVISOR AGENT AND INDIRECT OWNER | 02/2006 | 25-50% |
| LICCIARDELLO, THOMAS, JOHN | Individual | COMPASS CAPITAL CORPORATION | INVESTMENT ADVISOR AGENT AND INDIRECT OWNER | 06/2005 | 25-50% |
| Murphy, SANDRA, Powers | Individual | COMPASS HOLDING GROUP INC. | INDIRECT OWNER | 05/2011 | 25-50% |
| MIAN, OMAR, J | Individual | COMPASS CAPITAL CORPORATION | INVESTMENT ADVISOR AGENT AND INDIRECT OWNER | 02/2010 | 25-50% |
| WINANS, BRUCE, DONALD | Individual | COMPASS CAPITAL CORPORATION | INVESTMENT ADVISOR AGENT AND INDIRECT OWNER | 11/2011 | 25-50% |