Hedge Fund Database

COMPASS FINANCIAL GROUP, INC.

Adviser information for COMPASS FINANCIAL GROUP, INC. 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 Corporation
Fiscal Year End DECEMBER
Legal Location Florida, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
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 431 $375.6M
Non-Discretionary 0 $0
Total 431 $375.6M

Clients

Type Number RAUM
Individuals 46 $32.8M
HNW Individuals 75 $337.2M
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 $5.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesFAMILY OFFICE
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-61941
SEC ERA File Number 801-61941
SEC CIK Numbers 1666910
SEC CRD Numbers 125186
Legal Entity Identifier None

Principal Office

665 S.E. 10TH STREET
SUITE 202
DEERFIELD BEACH
FL
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 954-481-2607, Fax: 954-481-2614

Websites

www.compassfinancialgroup.com

Chief Compliance Officer

BLAIR SHEIN
VICE PRESIDENT
665 S. E. 10TH STREET
SUITE 202
DEERFIELD BEACH
FL
United States
Tel: 954-481-2607
Fax: 954-481-2614
(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
SHEIN, JAY, LESING Individual – PRESIDENT/CEO 10/1984 > 75%
SHEIN, BLAIR, CHARLES Individual – VICE PRESIDENT/CHIEF COMPLIANCE OFFICER 02/2003 < 5%
SHEIN, VAL Individual – SECRETARY/TREASURER 06/1990 < 5%

No. Employees, Historic

105020192020202120222023202420255 on 11/20/20196 on 3/28/20206 on 6/24/20205 on 3/25/20215 on 3/25/20215 on 5/27/20215 on 3/23/20225 on 3/21/20235 on 1/2/20245 on 1/3/20245 on 3/18/2024

RAUM, Historic

400M200M02019202020212022202320242025302425750 on 11/20/2019340894250 on 3/28/2020340894250 on 6/24/2020357601500 on 3/25/2021357601500 on 3/25/2021357601500 on 5/27/2021386915250 on 3/23/2022347233750 on 3/21/2023347233750 on 1/2/2024347233750 on 1/3/2024375590250 on 3/18/2024

No. Clients, Historic

20010002019202020212022202320242025115 on 11/20/2019113 on 3/28/2020113 on 6/24/2020120 on 3/25/2021120 on 3/25/2021120 on 5/27/2021118 on 3/23/2022121 on 3/21/2023121 on 1/2/2024121 on 1/3/2024122 on 3/18/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
Alphabet Inc. - Class A COM 240K 1K –
Apple Inc COM 285K 1K –
Capital Group Core Plus Income ETF COM 7M 313K –
Dimensional International Value ETF COM 4M 109K –
Dimensional Large Cap Value ETF COM 1M 46K –
Dimensional National Municipal Bond ETF COM 9M 188K –
Franklin FTSE Japan ETF COM 8M 259K –
Invesco Senior Loan ETF COM 276K 13K –
iShares Barclays 7-10 Year Treasury Bonds COM 7M 74K –
iShares Core S&P 500 ETF COM 28M 50K –
iShares Core U.S. Aggregate Bond ETF COM 3M 32K –
iShares Gold Trust COM 2M 50K –
Ishares Russell 1000 Growth Etf COM 15M 41K –
iShares Russell 3000 ETF COM 18M 59K –
iShares S&P National Muni Bond Fund COM 1M 10K –
iShares S&P National Short Term Municipal Bond Fund COM 668K 6K –
iShares Trust Broad USD Investment Grade Corporate Bond ETF COM 2M 42K –
Janus Henderson AAA CLO ETF COM 12M 229K –
JP Morgan Ultra-Short Income ETF COM 7M 138K –
JP Morgan Ultra-Short Municipal Income ETF COM 2M 35K –
Microsoft Corp COM 834K 2K –
Pimco 0-5 Year High Yield Corporate Bond Index Fund COM 3M 28K –
Pimco Enhanced Low Duration Active ETF COM 1M 13K –
Pimco Enhanced Short Maturity Active ETF COM 7M 67K –
PowerShares FTSE RAFI US 1000 Portfolio COM 12M 303K –
SPDR Blackstone Senior Loan ETF COM 2M 53K –
SPDR Portfolio Aggregate Bond ETF COM 3M 102K –
SPDR Portfolio Large Cap ETF COM 3M 52K –
SPDR Portfolio S&P 500 Growth ETF COM 7M 87K –
SPDR Portfolio Short Term Corporate Bond ETF COM 3M 113K –
SPDR Portfolio Total Stock Market ETF COM 3M 45K –
SPDR S&P 500 ETF COM 591K 1K –
Vanguard FTSE Developed Markets ETF COM 4M 79K –
Vanguard Intermediate Term Bond ETF COM 2M 27K –
Vanguard Short-Term Corporate Bond ETF COM 3M 41K –
Vanguard Small-Cap ETF COM 9M 40K –
Vanguard Total Stock Market ETF COM 8M 28K –
Vanguard Ultra-Short Bond ETF COM 2M 40K –