# Compass Financial Management

Compass Financial Management is a Bank / Wealth / Trust based in Tampa, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Tampa, United States
- **Region:** North America
- **Address:** Chicago, IL, United States
- **Founded:** 2011
- **Assets under management:** Undisclosed
- **Website:** compassfmllc.com
- **LinkedIn:** https://www.linkedin.com/company/compassfmllc

## Regulatory record

- **CRD number:** 156345
- **SEC file number:** 801-118185
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-05-18T05:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/156345

## About

Compass Financial Management was formed in Chicago in 2011 by a team whose public record centers on wealth advisory rather than product manufacturing. The firm provides financial planning, tax planning, and discretionary portfolio management to individuals, high-net-worth families, and institutional clients, operating under a fiduciary model common among post-2008 advisory launches. The firm structures its client relationships around discretionary portfolio management, which implies authority to trade on client behalf within agreed investment policy parameters. The lack of publicly named portfolio holdings or fund vehicles limits visibility into precise allocations, but the Chicago location places it within a competitive wealth-management market serving Midwest family capital and business-owner liquidity events. Compass Financial Management maintains a single-office footprint in Chicago. No public data sources confirm firm-wide AUM or professional headcount. The firm's structural posture is straightforward: a registered investment adviser built around financial planning and discretionary management under one roof. Unlike multi-family offices that layer in private investments, club deals, or concierge services, Compass appears to anchor on planning-led wealth management — a model where tax strategy and portfolio oversight integrate without the operational complexity of direct co-investment or fund-of-funds selection.

## Questions

### What investment services does Compass Financial Management provide?

Compass Financial Management offers financial planning, tax planning, and discretionary portfolio management to individuals, high-net-worth families, and institutional clients. The firm operates under a fiduciary model, constructing multi-asset-class portfolios with ongoing tax-aware rebalancing.

### Does Compass Financial Management have discretionary trading authority over client accounts?

Yes. The firm describes its service as discretionary portfolio management, which means it can trade on client behalf within agreed investment policy parameters. This structure is typical for RIAs that integrate planning and ongoing asset management rather than operating as a broker-dealer.

### Where is Compass Financial Management headquartered?

The firm is based in Chicago, Illinois. It maintains a single-office footprint and has not disclosed additional locations.

### When was Compass Financial Management founded?

Compass Financial Management was established in 2011. Its formation followed a wave of RIA launches after the 2008 financial crisis, a period when many advisors shifted toward fiduciary models focused on planning and discretionary management rather than commission-based distribution.

### Does Compass Financial Management publish its assets under management?

No. Compass Financial Management does not publicly disclose AUM, and no verifiable third-party source has confirmed a current figure. The firm's AUM band remains undisclosed in all public records.

## Related profiles

- [Compass Financial Advisory Services](https://altss.com/profile/compass-financial-advisory-services)
- [Compass Investment Advisers](https://altss.com/profile/compass-investment-advisers)

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Last updated: 2026-08-11T02:43:31.692Z

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