{ "crd_number": 165043, "slug": "compass-rose-strategic-partners-llc-waterford-ct-165043", "primary_business_name": "COMPASS ROSE STRATEGIC PARTNERS LLC", "legal_name": "COMPASS ROSE STRATEGIC PARTNERS LLC", "dbas": [], "city": "Waterford", "state": "CT", "country": "United States", "cbsa_code": "35980", "metro": { "cbsa_code": "35980", "common_name": "Norwich", "msa_name": "Norwich-New London-Willimantic, CT", "path": "/advisors/ct/norwich" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2012-10-12", "years_registered": 13, "period": "2026-10-01", "filing_date": "2026-05-12", "carried_forward": false, "raum_total": 102990362.0, "raum_discretionary": 52724563.0, "raum_non_discretionary": 50265799.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 6, "advisory_employees": 4, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 0.0, "count": null, "fewer_than_5": true }, "individuals": { "raum": 18136237.0, "count": 82 }, "banking_thrift": { "raum": 0.0, "count": null, "fewer_than_5": true }, "state_municipal": { "raum": 0.0, "count": null, "fewer_than_5": true }, "insurance_companies": { "raum": 0.0, "count": null, "fewer_than_5": true }, "investment_companies": { "raum": 0.0, "count": null }, "pension_profit_sharing": { "raum": 0.0, "count": null, "fewer_than_5": true }, "other_investment_advisers": { "raum": 0.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 84847659.0, "count": 68 }, "pooled_investment_vehicles": { "raum": 0.0, "count": null }, "corporations_other_businesses": { "raum": 6466.0, "count": 2 }, "business_development_companies": { "raum": 0.0, "count": null }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "pension_consulting", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 1, "states_registered": [ "CT", "FL", "NY" ], "websites": [ "https://compassrosestrategicpartners.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/165043", "disclosure_items": [ { "item": "11.F", "question": "Has an authorization to act as an attorney, accountant, or federal contractor granted to the firm or an advisory affiliate ever been revoked or suspended?" } ], "city_as_filed": "WATERFORD", "url": "https://advisorcensus.com/firm/compass-rose-strategic-partners-llc-waterford-ct-165043", "display_name": "Compass Rose Strategic Partners LLC", "summary": "Compass Rose Strategic Partners LLC is a state-registered investment advisory firm in Waterford, CT, registered since 2012, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 12, 2026.", "citation": "AdvisorCensus. Compass Rose Strategic Partners LLC (CRD 165043): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Compass Rose Strategic Partners LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Compass Rose Strategic Partners LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Compass Rose Strategic Partners LLC located?", "a": "Compass Rose Strategic Partners LLC's principal office is in Waterford, CT, according to its Form ADV." }, { "q": "Is Compass Rose Strategic Partners LLC registered with the SEC or a state?", "a": "Compass Rose Strategic Partners LLC is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 165043." }, { "q": "How much does Compass Rose Strategic Partners LLC manage?", "a": "Compass Rose Strategic Partners LLC reports $102,990,362 in regulatory assets under management in its Form ADV filing dated May 12, 2026 (51% discretionary)." }, { "q": "What types of clients does Compass Rose Strategic Partners LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (82); high net worth individuals (68); corporations or other businesses not listed above (2)." }, { "q": "Does Compass Rose Strategic Partners LLC report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.F (authorization as an attorney, accountant, or federal contractor revoked or suspended). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/165043" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/compass-rose-strategic-partners-llc-waterford-ct-165043.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 82, "fewer_than_5": false, "raum": 18136237.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 68, "fewer_than_5": false, "raum": 84847659.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": null, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": null, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": null, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 2, "fewer_than_5": false, "raum": 6466.0 } ], "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/165043", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }