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COMPASS ROSE ASSET MANAGEMENT

NEW YORK, NY · CRD 297010 · IAPD ↗ · compassroseam.com · 212-888-1433

$16.50BRegulatory AUM
16Advisory reps
37Employees
0Clients
n/aPlanning clients
3Private funds
5States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
April 2026 — COMPASS ROSE ASSET MANAGEMENT shrank from 20 to 16 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
52
April 2026 — COMPASS ROSE ASSET MANAGEMENT reported RAUM up 39% ($11.86B -> $16.50B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
32
April 2025 — COMPASS ROSE ASSET MANAGEMENT notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
April 2025 — COMPASS ROSE ASSET MANAGEMENT added office(s): 3 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
32
April 2024 — COMPASS ROSE ASSET MANAGEMENT notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
April 2024 — COMPASS ROSE ASSET MANAGEMENT added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2024 — COMPASS ROSE ASSET MANAGEMENT reported RAUM up 44% ($8.60B -> $12.35B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
62
April 2024 — COMPASS ROSE ASSET MANAGEMENT grew from 11 to 18 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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