Hedge Fund Database

COMPASS FINANCIAL ADVISORS LLC

Adviser information for COMPASS FINANCIAL ADVISORS LLC last updated from Form ADV on March 19th, 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 Indiana, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 7
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 730 $230.8M
Non-Discretionary 0 $0
Total 730 $230.8M

Clients

Type Number RAUM
Individuals 541 $56.4M
HNW Individuals 169 $107.4M
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 11 $26.7M
Charitable organizations 6 $9.3M
State or municipal gov entities <5 $30.2M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 2 $863,367
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-56002
SEC ERA File Number 801-56002
SEC CIK Numbers 1913221
SEC CRD Numbers 109131
Legal Entity Identifier None

Principal Office

9933 DUPONT CIRCLE DRIVE WEST
SUITE 100
FORT WAYNE
IN
United States
Monday - Friday, 8AM TO 5PM
Tel: 260-490-7878, Fax: 260-490-7766

Websites

www.linkedin.com/company/compass-financial-advisors/about/ www.compassadvisor.com www.facebook.com/cfafortwayne/

Chief Compliance Officer

JONATHAN G. KASTING
CHIEF COMPLIANCE OFFICER
255 E 5TH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel: (513) 977-8234
(Full email address available in API data)

Regulatory Contact

JAMES BOBOS
DIRECTOR OF PORTFOLIO MANAGEMENT
150 RAIL ROAD
SUITE 2
CHESTERTON
IN
United States
Tel: 219-476-7100
Fax: 219-476-7200
(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
FOUGHT, DAVID, EUGENE Individual – MEMBER 01/1988 50-75%
FISEL, LYNN, RAY Individual – MEMBER 01/2007 5-10%
BOBOS, JAMES, JOSEPH Individual – MEMBER 01/2000 < 5%
MALINGS, CLIFFORD, LEE Individual – MEMBER 02/2020 10-25%
Kasting, Jonathan, G Individual – CHIEF COMPLIANCE OFFICER 11/2021 < 5%

No. Employees, Historic

2010020202021202220232024202512 on 3/19/202012 on 3/20/202012 on 6/18/202012 on 9/8/20208 on 2/4/20218 on 8/4/20218 on 9/20/20218 on 9/21/20218 on 11/22/20218 on 3/11/20228 on 4/4/20228 on 4/4/20228 on 4/12/20229 on 3/1/20239 on 3/19/2024

RAUM, Historic

300M150M0202020212022202320242025244900258 on 3/19/2020244900258 on 3/20/2020244900258 on 6/18/2020244900258 on 9/8/2020209646623 on 2/4/2021209646623 on 8/4/2021209646623 on 9/20/2021209646623 on 9/21/2021209646623 on 11/22/2021233856754 on 3/11/2022233856754 on 4/4/2022233856754 on 4/4/2022233856754 on 4/12/2022198913231 on 3/1/2023230847427 on 3/19/2024

No. Clients, Historic

8004000202020212022202320242025467 on 3/19/2020467 on 3/20/2020467 on 6/18/2020467 on 9/8/2020423 on 2/4/2021423 on 8/4/2021423 on 9/20/2021423 on 9/21/2021423 on 11/22/2021698 on 3/11/2022698 on 4/4/2022698 on 4/4/2022698 on 4/12/2022714 on 3/1/2023730 on 3/19/2024

Holdings

From latest 13F, filed November 13th, 2023 for period ending September 30th, 2023
Name Class Value $USD # Shares Private Fund
None None 0 0 –