Equitycompass Investment Management, Llc
- Regulatory AUM
- $221M
- Discretionary
- $221M
- Clients
- 163
- Avg AUM / client
- $1.4M
- Accounts
- 163
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 150 | $79.8M | 36.1% |
| High net worth individuals | 13 | $141M | 63.9% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Bobby (Nmn) Thomas | Vice President | Sep 2010 (16y) | Less than 5% | |
| Mutascio, Christopher, Mark | Vice President | Oct 2018 (8y) | Less than 5% | |
| Robert George Hagstrom | Chief Investment Officer | CFA | Mar 2019 (7y) | Less than 5% |
| Stein, Avi, L | Chief Financial Officer | Mar 2020 (6y) | Less than 5% | |
| Spero, Michael, Alexander | Chief Compliance Officer | Jul 2021 (5y) | Less than 5% | |
| Michael Scott Scherer | Registered representative | Jan 2010 (17y) | ||
| Timothy Michael Mccann | Registered representative | Feb 2010 (16y) | ||
| Bernard Joseph Kavanagh | Registered representative | Jan 2012 (15y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Stifel Financial Corporation | Managing Member | Jan 2019 | A | 75% or more |
Undisclosed: 0% – 25% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 2 MB | 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Stifel, Nicolaus & Company, Incorporated $68.9M (31% of AUM) Mar 2026
- Keybank National Association $48.2M (29% of AUM) Dec 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 16, 2026.
View current Form ADV (SEC/IAPD) ↗