Compass Financial Advisors Llc
- Regulatory AUM
- $282M
- Discretionary
- $281M
- Clients
- 659
- Avg AUM / client
- $429K
- Accounts
- 730
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Investments (13F portfolio — 1 positions, $0)
13F period Sep 30, 2023| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | None | None | $0 | 0 | — | 0.0% |
Top 25 of 1 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 489 | $46.2M | 16.3% |
| High net worth individuals | 145 | $147M | 52.2% |
| Pension and profit sharing plans | 16 | $32.1M | 11.4% |
| Charitable organizations | 6 | $11.0M | 3.89% |
| State or municipal government entities | 1 | $44.7M | 15.8% |
| Corporations and other businesses | 2 | $1.2M | 0.41% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Tradewinds Services Inc Retirement Plan Tradewinds Services, Inc. | 2024 |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Fought, David, Eugene | Member | Jan 1988 (39y) | 50% – 75% | |
| Lynn Ray Fisel | Member | Dec 1998 (28y) | 5% – 10% | |
| James Joseph Bobos | Member | Jan 2000 (27y) | Less than 5% | |
| Clifford Lee Malings | Member | Dec 2005 (21y) | 10% – 25% | |
| Kasting, Jonathan, G | Chief Compliance Officer | Nov 2021 (5y) | Less than 5% | |
| Michael Howard Simpson | Registered representative | Jun 2002 (24y) | ||
| Kurt Alan Gutman | Registered representative | Jun 2009 (17y) | ||
| Christopher John Swanson | Registered representative | Oct 2012 (14y) | ||
| James Andrew Weber | Registered representative | May 2023 (3y) |
Undisclosed: 0% – 35% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Tradewinds Services Inc Retirement Plan | Tradewinds Services, Inc. | 200 | $4.1M | 07/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 928 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Pershing $200M (71% of AUM) Mar 2026
- Lincoln Financial Advisors Corporation $30.2M (13% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗