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COMPASS FINANCIAL GROUP, INC
CRD 157109File 801-76392
APPROVED
Retail clients
Custody
Filing as of Aug 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.48B
Above cohort median (national)
Discretionary AUM
$1.48B
Clients
2,826
2,826 accounts
Employees
13
Top 10% of cohort in SD
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Apr 24, 2012
- Principal office
- 4300 SOUTH LOUISE AVE., SUITE 300, SIOUX FALLS, SD, 57106
- Phone
- 605-338-7150
- Website
- HTTP://WWW.COMPASSFIN.NET
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.48B
- Discretionary AUM
- $1.48B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,826
- Non-discretionary accounts
- 0
- Total accounts
- 2,826
- AUM per client
- $525K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 10 | $10.0M |
| Charitable organizations | Fewer than 5 | $1.0M |
| High net worth individuals | 304 | $925.0M |
| Individuals (other than high net worth individuals) | 2,512 | $546.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 25, 2026 | AUM | $1,482,000,000 | $1,482,712,000 | increased by$712,000 |
| Aug 1, 2026 | Clients | 2,675 | 2,826 | increased by151 |
| Aug 1, 2026 | AUM | $1,225,296,000 | $1,482,000,000 | increased by$256,704,000 |
| Aug 1, 2026 | Accounts | 8,015 | 2,826 | decreased by5,189 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 7 | 13 | increased by6 |
| Dec 1, 2025 vs May 1, 2025 | Custody | No | Yes | |
| Dec 1, 2025 vs May 1, 2025 | Clients | 2,385 | 2,675 | increased by290 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $995,000,000 | $1,225,296,000 | increased by$230,296,000 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 2,385 | 8,015 | increased by5,630 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6 | 7 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,435 | 2,385 | decreased by50 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $760,000,000 | $995,000,000 | increased by$235,000,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 5,700 | 2,385 | decreased by3,315 |
| Jun 1, 2022 | Employees | 4 | 6 | increased by2 |
| Jun 1, 2022 | Clients | 2,500 | 2,435 | decreased by65 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “COMPASS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“COMPASS FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.