SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Compass Financial Management LLC
Tampa, FL
CRD 156345
Firm filing updated May 18, 2026 ·
- $893.8MAssets
- 2,228Clients
- 31Advisory staff
- 3,799Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals1,955
- High net worth individuals197
- Corporations or other businesses39
- Pension and profit sharing plans37
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,955 | $402.0 million |
| High net worth individuals | 197 | $444.0 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 37 | $29.4 million |
| Corporations or other businesses not listed above | 39 | $18.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Assets and accounts
- Regulatory assets$893.8 million
- Accounts3,799
- DiscretionaryAll accounts
People
- Employees33
- Advisory staff31
- Broker-dealer reps2
- Licensed insurance agents17
- Planning clients0
Advisors
26 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 156345, SEC file 801-118185.
- Registered with the SEC as an investment advisor (status date on record: March 6, 2020).
Is Compass Financial Management LLC a fiduciary?
Short answer: Compass Financial Management LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
17 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.