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COMPASS GROUP MANAGEMENT LLC

WESTPORT, CT · CRD 168422 · IAPD ↗ · 203.221.1703

$3.04BRegulatory AUM
7Advisory reps
25Employees
1Clients
n/aPlanning clients
0Private funds
1States
9Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
April 2026 — COMPASS GROUP MANAGEMENT LLC reported RAUM down 25% ($4.05B -> $3.04B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
45
April 2026 — COMPASS GROUP MANAGEMENT LLC shrank from 15 to 7 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
45
December 2025 — COMPASS GROUP MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 4 (5 -> 9).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
August 2025 — COMPASS GROUP MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
July 2025 — COMPASS GROUP MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

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