Compass Financial Management LLC
Registered investment adviser · Tampa, FL · CRD #156345
Form ADV data as of 2026-09-01Regulatory assets
$893.8 million
Total accounts
3,799
Employees
33
Disclosure events
1
Firm details
- Website: https://www.facebook.com/joe.dise
- Telephone: 813-597-6400
- SEC file number: 801-118185
- Most recent Form ADV filing: 2026-05-18
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $893.8 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $893.8 million |
| Discretionary accounts | 3,799 |
| Non-discretionary accounts | 0 |
| Total accounts | 3,799 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 33 |
| Employees performing investment advisory functions (including research) | 31 |
| Employees who are registered representatives of a broker-dealer | 2 |
| Employees registered as investment adviser representatives with a state | 33 |
| Employees registered as IARs for another investment adviser | 8 |
| Employees who are licensed insurance agents | 17 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 1,955 | $402.0 million |
| High net worth individuals | 197 | $444.0 million |
| Pension and profit sharing plans (not the participants or government plans) | 37 | $29.4 million |
| Corporations or other businesses not listed above | 39 | $18.4 million |