COMPASS POINT ASSET MANAGEMENT, LLC
Adviser information for COMPASS POINT ASSET MANAGEMENT, LLC last updated from Form ADV on August 4th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-108285 |
|---|---|
| SEC ERA File Number | 802-108285 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172702 |
| Legal Entity Identifier | None |
Principal Office
1055 THOMAS JEFFERSON ST., NWSUITE 303
WASHINGTON
DC
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 202-548-8359, Fax: 202-540-7311
Chief Compliance Officer
CHRISTOPHER NEALON
CHIEF OPERATING OFFICER
1055 THOMAS JEFFERSON ST., NW
SUITE 303
WASHINGTON
DC
United States
Tel:
202-540-7315
Fax:
202-540-7311
C******@********************M
(Full email address available in API data)
Industry Affiliates
| COMPASS POINT RESEARCH & TRADING, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| COMPASS POINT FINANCIALS FUND, LLC | Hedge Fund | $0.0M | $0.1M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DREYER, SCOTT, ERIC | Individual | – | MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER | 05/2014 | > 75% |
| NEALON, CHRISTOPHER, ALLEN | Individual | – | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | 05/2014 | < 5% |
| CUTCHOGUE POINT AP, LLC | Domestic Entity | – | MEMBER | 01/2015 | 10-25% |
| HORSTMANN, RICHARD, ALAN | Individual | CUTCHOGUE POINT AP, LLC | MANAGING MEMBER | 10/2004 | > 75% |