EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

Adviser information for EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 28th, 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	Missouri, United States

Employees

Total Number of Employees	15
Investment Advisory/Research	11
Registered Broker-Dealer Representatives	5
Registered State Investment Advisers	5
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	109	$179.5M
Non-Discretionary	0	$0
Total	109	$179.5M

Clients

Type	Number	RAUM
Individuals	101	$50.1M
HNW Individuals	7	$79.5M
Banking or thrift institutions	0	$0
Investment companies	1	$49.9M
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

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients
Compensation	% of AUM
Other Business Activities	Commodity pool operator or commodity trading advisor

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	127.1M
Both for Same	0

Portfolio Manager to Program	Sponsor
CONNECT	STIFEL, NICOLAUS & COMPANY, INCORPORATED
OPPORTUNITY PROGRAM	STIFEL, NICOLAUS & COMPANY, INCORPORATED
PRIVATE ADVISOR NETWORK	WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
OSM PROGRAM	RAYMOND JAMES & ASSOCIATES, INC.
MANAGED ACCOUNT MARKETPLACE	CHARLES SCHWAB & CO., INC.

Identifiers

SEC RIA File Number	801-69131
SEC ERA File Number	801-69131
SEC CIK Numbers	1442676
SEC CRD Numbers	145420
Legal Entity Identifier	None

Principal Office

ONE SOUTH STREET
16TH FLOOR
BALTIMORE
MD
United States

Monday - Friday, 8AM - 5PM EST

Tel: 443-224-1231, Fax: 443-224-1394

Websites

www.linkedin.com/company/equitycompass-strategies/ www.equitycompass.com twitter.com/equitycompass www.facebook.com/equitycompass/

Chief Compliance Officer

MICHAEL SPERO

CHIEF COMPLIANCE OFFICER

7200 WISCONSIN AVENUE

SUITE 310

BETHESDA

United States

Tel: (301) 941-2439

S*****@*********M

(Full email address available in API data)

Regulatory Contact

RICHARD GRODEON

COMPLIANCE DIRECTOR - REGULATORY AFFAIRS

ONE FINANCIAL PLAZA

501 N BROADWAY

ST. LOUIS

United States

Tel: (314)342-2141

G*******@*********M

(Full email address available in API data)

Industry Affiliates

1919 INVESTMENT COUNSEL, LLC	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
CSA INSURANCE AGENCY INCORPORATED	Insurance company or agency
EATON PARTNERS (UK) LLP	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
EATON PARTNERS HONG KONG	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
KCP FUND GENERAL PARTNER LLC	Sponsor, GP, manager of pooled investment vehicles
KEEFE, BRUYETTE & WOODS, INC.	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
SIERRA PACIFIC SECURITIES, LLC	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
STIFEL ACCESS SERVICES LLC	Sponsor, GP, manager of pooled investment vehicles
STIFEL BANK	Banking or thrift institution
STIFEL BANK & TRUST	Banking or thrift institutionTrust company
STIFEL CAPITAL MANAGEMENT, LLC	Other investment adviser, including financial planners
STIFEL EUROPE BANK AG	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
STIFEL INDEPENDENT ADVISORS, LLC	Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
STIFEL NICOLAUS CANADA INC.	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
STIFEL NICOLAUS EUROPE LIMITED	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
STIFEL NICOLAUS INSURANCE AGENCY INCORPORATED	Insurance company or agency
STIFEL NICOLAUS ISRAEL LTD.	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
STIFEL SCHWEIZ AG	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
STIFEL TRUST COMPANY	Trust company
STIFEL WEALTH TRACKER	Other investment adviser, including financial planners
STIFEL, NICOLAUS & COMPANY, INCORPORATED	Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorCommodity pool operator or commodity trading advisorInsurance company or agencySponsor, GP, manager of pooled investment vehicles
TRUST COMPANY DELAWARE	Trust company
WASHINGTON CROSSING ADVISORS LLC	Other investment adviser, including financial planners

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners

None

Control Persons

Name	Type	Entity	Title	Since	Ownership
STIFEL FINANCIAL CORPORATION	Domestic Entity	–	MANAGING MEMBER	01/2019	> 75%
CRIPPS, RICHARD, ERIC	Individual	–	SENIOR INVESTMENT STRATEGIST	03/2019	< 5%
THOMAS, BOBBY, (NMN)	Individual	–	VICE PRESIDENT	09/2015	< 5%
MUTASCIO, CHRISTOPHER, MARK	Individual	–	VICE PRESIDENT	10/2018	< 5%
HAGSTROM, ROBERT, GEORGE	Individual	–	CHIEF INVESTMENT OFFICER	03/2019	< 5%
STEIN, AVI, L	Individual	–	CHIEF FINANCIAL OFFICER	03/2020	< 5%
Spero, Michael, Alexander	Individual	–	CHIEF COMPLIANCE OFFICER	07/2021	< 5%

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