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COMPASS FINANCIAL MANAGEMENT LLC

TAMPA, FL · CRD 156345 · IAPD ↗ · 813-597-6400

$893.8MRegulatory AUM
31Advisory reps
33Employees
0Clients
0Planning clients
0Private funds
23States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — COMPASS FINANCIAL MANAGEMENT LLC added office(s): 24 -> 36 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
72
April 2026 — COMPASS FINANCIAL MANAGEMENT LLC reported RAUM up 72% ($519.0M -> $893.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
December 2025 — COMPASS FINANCIAL MANAGEMENT LLC notice-filed in AZ, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
August 2025 — COMPASS FINANCIAL MANAGEMENT LLC notice-filed in UT, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2025 — COMPASS FINANCIAL MANAGEMENT LLC notice-filed in ME.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2025 — COMPASS FINANCIAL MANAGEMENT LLC added office(s): 7 -> 24 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2025 — COMPASS FINANCIAL MANAGEMENT LLC crossed $500M in regulatory AUM ($409.4M -> $519.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
75
April 2025 — COMPASS FINANCIAL MANAGEMENT LLC grew from 20 to 27 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
69
April 2024 — COMPASS FINANCIAL MANAGEMENT LLC reported RAUM up 55% ($263.6M -> $409.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
72
April 2024 — COMPASS FINANCIAL MANAGEMENT LLC grew from 16 to 20 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
78
April 2024 — COMPASS FINANCIAL MANAGEMENT LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
45
March 2024 — COMPASS FINANCIAL MANAGEMENT LLC notice-filed in WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.