{
  "crd_number": 156345,
  "slug": "compass-financial-management-llc-tampa-fl-156345",
  "primary_business_name": "COMPASS FINANCIAL MANAGEMENT LLC",
  "legal_name": "COMPASS FINANCIAL MANAGEMENT LLC",
  "dbas": [
    "BURGESS WEALTH ADVISORY",
    "DISE WEALTH MANAGEMENT",
    "DMK ADVISOR GROUP",
    "EXECUTIVE FINANCIAL SERVICES, INC.",
    "FORTIFIED WEALTH MANAGEMENT",
    "INDEPENDENCE MONEY",
    "INTELLIVISOR FAMILY OFFICE",
    "JOHN DANIELS CPA",
    "KDH FINANCIAL",
    "KELLY INVESTMENT ADVISORS",
    "MICHAEL LEE STRATEGY",
    "MOWERY CAPITAL",
    "MY ROADMAP ADVISOR",
    "NATURE COAST CAPITAL",
    "SOUZA WEALTH MANAGEMENT",
    "TEXAS RETIREMENT STRATEGIES",
    "THEUS WEALTH ADVISORS",
    "ZODA FINANCIAL"
  ],
  "city": "Tampa",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "45300",
  "metro": {
    "cbsa_code": "45300",
    "common_name": "Tampa",
    "msa_name": "Tampa-St. Petersburg-Clearwater, FL",
    "path": "/advisors/fl/tampa"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-03-06",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-05-18",
  "carried_forward": false,
  "raum_total": 893836789.0,
  "raum_discretionary": 893836789.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 33,
  "advisory_employees": 31,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": null,
      "count": 0
    },
    "individuals": {
      "raum": 402003433.0,
      "count": 1955
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 29446913.0,
      "count": 37
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 443954127.0,
      "count": 197
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 18432316.0,
      "count": 39
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "CT",
    "FL",
    "IL",
    "LA",
    "MA",
    "ME",
    "MN",
    "NC",
    "NH",
    "NJ",
    "NY",
    "OH",
    "PR",
    "SC",
    "TN",
    "TX",
    "UT",
    "VA",
    "WA",
    "WY"
  ],
  "websites": [
    "https://compassfmllc.com",
    "https://facebook.com/joe.dise"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/156345",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    }
  ],
  "city_as_filed": "TAMPA",
  "url": "https://advisorcensus.com/firm/compass-financial-management-llc-tampa-fl-156345",
  "display_name": "Compass Financial Management LLC",
  "summary": "Compass Financial Management LLC is an SEC-registered investment advisory firm in Tampa, FL, registered since 2020, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated May 18, 2026.",
  "citation": "AdvisorCensus. Compass Financial Management LLC (CRD 156345): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Compass Financial Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Compass Financial Management LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Compass Financial Management LLC located?",
      "a": "Compass Financial Management LLC's principal office is in Tampa, FL, according to its Form ADV; the June 2026 filing also lists 11 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Compass Financial Management LLC registered with the SEC or a state?",
      "a": "Compass Financial Management LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 156345."
    },
    {
      "q": "How much does Compass Financial Management LLC manage?",
      "a": "Compass Financial Management LLC reports $893,836,789 in regulatory assets under management in its Form ADV filing dated May 18, 2026 (100% discretionary)."
    },
    {
      "q": "How have Compass Financial Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Compass Financial Management LLC: Regulatory assets under management: $142,633,733 in the October 2021 data and $893,836,789 in the October 2026 data, up 527%. Total employees: 7 in October 2021 and 33 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Compass Financial Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,955); high net worth individuals (197); corporations or other businesses not listed above (39)."
    },
    {
      "q": "Which custodians does Compass Financial Management LLC use?",
      "a": "Compass Financial Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Institutional Wealth Advisor LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Compass Financial Management LLC report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/156345"
    },
    {
      "q": "What changed in Compass Financial Management LLC's recent Form ADV filings?",
      "a": "In the June 2026 filing data: Added the business name Souza Wealth Management. Added the business name Executive Financial Services, Inc.."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 142633733.0,
      "total_employees": 7,
      "filing_date": "2021-08-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 220916896.0,
      "total_employees": 14,
      "filing_date": "2022-02-18"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 263643489.0,
      "total_employees": 16,
      "filing_date": "2023-09-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 409358130.0,
      "total_employees": 20,
      "filing_date": "2024-05-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 518984611.0,
      "total_employees": 28,
      "filing_date": "2025-07-17"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 893836789.0,
      "total_employees": 33,
      "filing_date": "2026-05-18"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Added the business name Souza Wealth Management.",
        "Added the business name Executive Financial Services, Inc.."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Added the business name Theus Wealth Advisors.",
        "Employees performing advisory functions went from 27 to 31.",
        "Regulatory assets under management went from $518,984,611 to $893,836,789 (+72%).",
        "Added an office in Phoenix, AZ.",
        "Added an office in St. Petersburg, FL.",
        "Added an office in Tampa, FL.",
        "No longer lists an office in Franklin, TN.",
        "No longer lists an office in Jacksonville, FL.",
        "No longer lists an office in McMinnville, TN."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Added the business name Texas Retirement Strategies.",
        "Added the business name Burgess Wealth Advisory."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in AZ, VA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Institutional Wealth Advisor LLC",
      "name_as_filed": "FIDELITY INSTITUTIONAL WEALTH ADVISOR LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/compass-financial-management-llc-tampa-fl-156345.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1955,
      "fewer_than_5": false,
      "raum": 402003433.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 197,
      "fewer_than_5": false,
      "raum": 443954127.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 37,
      "fewer_than_5": false,
      "raum": 29446913.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 39,
      "fewer_than_5": false,
      "raum": 18432316.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/156345",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}