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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

COMPASS FINANCIAL MANAGEMENT LLC

CRD 156345

TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0a876d00-5cda-92a6-3471-1789ef21895b

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 59
Dated events: 21
On other graphs: 0
Observed: Dec 14, 2011 to May 18, 2026
36 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $894MItem 5.F on the latest filing (2026-05-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $894M
Private client RAUM: $846MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 45
RAUM per advisor: $19.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 33
Advisory employees: 31
Offices: 36Schedule D 1.F, beyond the principal office
Accounts: 3,799
Individual clients: 1,955
High net worth clients: 197
SEC number: 801-118185
CRD: 156345
Filings on the tape: 36
First filed: Dec 14, 2011
Latest filed: May 18, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 38

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J'NEANNE MARY THEUS	n/a	SUNBURY, OH \| Sunbury, OH	11	21	4	no
JOSEPH WILLIAM DISE	n/a	TAMPA, FL \| Treasure Island, FL	6	33	3	no
KATHRYN AIKSNORAS DENNEN	n/a	Oxford, CT	5	11	2	no
PETER JOHN AIKSNORAS	n/a	Oxford, CT	5	39	n/a	no
MICHAEL THOMAS LEE	n/a	New York, NY	5	24	8	no
FREDERICK EUGENE MOWERY	n/a	Allen, TX	4	42	5	no
STEVEN CRAIG WALSTAD	n/a	Bloomington, MN	4	30	1	no
HAROLD ALAN SCHWARTZ	n/a	LUTZ, FL \| McMinnville, TN \| Palm Coast, FL \| Highlands Ranch, CO \| Englewood, CO \| Lutz, FL \| Littleton, CO	4	43	3	yes
MICHAEL CLARENCE FERRIN	n/a	Clemmons, NC	3	24	1	no
JAMES ROBERT DAVENPORT	Certified Financial Planner	Sarasota, FL	3	16	3	no
NATHAN LEE WILSON	n/a	Bellvue, CO	3	28	6	no
BELINDA MARIE LUSK	n/a	Chicago, IL	2	21	1	no
JOHN GEORGE DANIELS	n/a	Sarasota, FL	2	34	1	no
ELISEA TANTUAN FRISHBERG	n/a	HIALEAH, FL	2	30	5	no
MARK ALAN FLEMING	Certified Financial Planner	OAK BROOK, IL	2	18	3	no
JESSE JOHN LIPSCOMB	n/a	San Diego, CA	1	25	4	no
GEOFFREY MCHALE GARFIELD	n/a	Darien, CT	1	32	1	no
WENDELL BRENEMAN STEWART	n/a	Windham, NH	1	41	2	no
ROBERT DAVID ZODA	Certified Financial Planner	MONTGOMERY, TX	1	39	4	no
KEVIN DAVID HARWOOD	n/a	Tampa, FL	1	12	1	no
WILLIAM CHRISTIAN GABRIELSEN	n/a	Biddeford, ME	1	27	3	no
SCOTT EVAN GREENE	n/a	Tampa, FL	1	28	3	no
Justin Kelly	n/a	St. Petersburg, FL	1	12	1	no
ALBERT DANIEL SOUZA	n/a	Seattle, WA	1	17	2	no
TANNER HARWOOD	n/a	TAMPA, FL	1	13	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MARKOWSKI, CHRISTOPHER	DIRECTOR/MANAGING MEMBER	C	yes	07/2018	Feb 6, 2020	May 10, 2024
MARKOWSKI, MATTHEW	DIRECTOR/CCO/MANAGING MEMBER	C	yes	07/2018	Feb 6, 2020	May 10, 2024
MARKOWSKI, MICHAEL, JOHN	DIRECTOR/MANAGING MEMBER	C	yes	07/2018	Feb 6, 2020	May 10, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MARKOWSKI BROTHERS HOLDING CORPORATION	n/a	Independent wealth	$474M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Lutz	FL	United States	1	no
Sarasota	FL	United States	1	no
TREASURE ISLAND	FL	United States	1	no
NEW YORK	NY	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 7 of 8

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$894M	$894M	33	31	36	n/a	n/a
2024	Apr 3, 2025	$519M	$519M	28	27	24	n/a	n/a
2023	Mar 21, 2024	$409M	$409M	20	20	7	n/a	n/a
2022	Mar 28, 2023	$264M	$264M	16	16	8	n/a	n/a
2021	Feb 18, 2022	$221M	$206M	14	14	8	n/a	n/a
2020	Feb 12, 2021	$143M	$143M	7	7	7	n/a	n/a
2011	Mar 26, 2012	$59.4M	$42.2M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
8	6	2	13.3%	1	0	0	22	8

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$894M	$519M	72.2%	$264M	50.2%	33	28	36	24

Relationships

Registered with (55)

← RICHARD MARK ALLISONAdvisorregistration: current employment
Aug 25, 2026 to presentfactForm ADV
← KEVIN JOHN CHRISTAdvisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← Elizabeth DennenAdvisorregistration: current employment
Jul 22, 2026 to presentfactForm ADV
← Roy AtallahAdvisorregistration: current employment
Jul 22, 2026 to presentfactForm ADV
← Robert HarwoodAdvisorregistration: current employment
Jun 5, 2026 to presentfactForm ADV
← Jerry JuddAdvisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← Christa IrwinAdvisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← Riley HaganAdvisorregistration: current employment
Mar 26, 2026 to presentfactForm ADV
← MATTHEW K CARRIERAdvisorregistration: current employment
Mar 17, 2026 to presentfactForm ADV
← Kyle ALAN RuiterAdvisorregistration: current employment
Mar 6, 2026 to presentfactForm ADV
← Cooper CarrierAdvisorregistration: current employment
Mar 2, 2026 to presentfactForm ADV
← J'NEANNE MARY THEUSAdvisorregistration: current employment
Feb 19, 2026 to presentfactForm ADV
← GARY CHARLES HAACKAdvisorregistration: current employment
Feb 4, 2026 to presentfactForm ADV
← JEFFREY MICHAEL BURGESSAdvisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← JACOB JOHNSONAdvisorregistration: current employment
Dec 10, 2025 to presentfactForm ADV
← Bradley Arnold AllanAdvisorregistration: current employment
Dec 1, 2025 to presentfactForm ADV
← TANNER HARWOODAdvisorregistration: current employment
Sep 4, 2025 to presentfactForm ADV
← ALBERT DANIEL SOUZAAdvisorregistration: current employment
Jul 18, 2025 to presentfactForm ADV
← Justin KellyAdvisorregistration: current employment
May 14, 2025 to presentfactForm ADV
← SCOTT EVAN GREENEAdvisorregistration: current employment
Apr 8, 2025 to presentfactForm ADV
← WILLIAM CHRISTIAN GABRIELSENAdvisorregistration: current employment
Apr 4, 2025 to presentfactForm ADV
← KEVIN DAVID HARWOODAdvisorregistration: current employment
Mar 17, 2025 to presentfactForm ADV
← ROBERT DAVID ZODAAdvisorregistration: current employment
Feb 11, 2025 to presentfactForm ADV
← HAROLD ALAN SCHWARTZAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← WENDELL BRENEMAN STEWARTAdvisorregistration: current employment
Dec 19, 2024 to presentfactForm ADV
← GEOFFREY MCHALE GARFIELDAdvisorregistration: current employment
Nov 18, 2024 to presentfactForm ADV
← JESSE JOHN LIPSCOMBAdvisorregistration: current employment
Oct 15, 2024 to presentfactForm ADV
← AUSTIN GRAY LOWDERAdvisorregistration: current employment
Aug 15, 2024 to presentfactForm ADV
← MARK ALAN FLEMINGAdvisorregistration: current employment
Jul 16, 2024 to presentfactForm ADV
← ELISEA TANTUAN FRISHBERGAdvisorregistration: current employment
Feb 14, 2024 to presentfactForm ADV
and 25 more

Affiliated with (1)

→ MARKOWSKI INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← MARKOWSKI, CHRISTOPHEROwnerDIRECTOR/MANAGING MEMBER, ownership code C, individual
Feb 6, 2020 to May 10, 2024factForm ADV
← MARKOWSKI, MICHAEL, JOHNOwnerDIRECTOR/MANAGING MEMBER, ownership code C, individual
Feb 6, 2020 to May 10, 2024factForm ADV
← MARKOWSKI, MATTHEWOwnerDIRECTOR/CCO/MANAGING MEMBER, ownership code C, individual
Feb 6, 2020 to May 10, 2024factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 18, 2026
Advisor changed firm
David Alan King left Compass Financial Management Llc for Lpl Enterprise, Llc (registered 2026-05-06)
Form ADVobserved 6 days ago
Occurred
Apr 1, 2026
Advisor changed firm
Donald Michael Paracca left Compass Financial Management Llc for Paracca Financial Group (registered 2025-12-05)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2026
Regulatory AUM changed
Compass Financial Management Llc reported RAUM $893.8M, up 72% from $519.0M (2026-01-30 to 2026-03-27)
Form ADVobserved 6 days ago
$375M
Occurred
Mar 3, 2026
Advisor changed firm
Joe Strom left Compass Financial Management Llc for Stonebriar Wealth, Llc (registered 2026-02-27)
Form ADVobserved 6 days ago
Occurred
Mar 2, 2026
Advisor changed firm
David Morgan left Compass Financial Management Llc for Simplicity Wealth (registered 2026-01-13)
Form ADVobserved 6 days ago
Occurred
Dec 5, 2025
Advisor departed, no destination yet
Jorge Ramon Perez no longer registered at Compass Financial Management Llc; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Dec 5, 2025
Advisor changed firm
Kelvin Ray Douglas left Compass Financial Management Llc for Dmk Advisor Group, Inc. (registered 2022-01-05)
Form ADVobserved 6 days ago
Occurred
Oct 7, 2025
Advisor changed firm
Sunil Dutt Misra left Compass Financial Management Llc for Dmk Advisor Group, Inc. (registered 2025-07-02)
Form ADVobserved 6 days ago
Occurred
Jul 28, 2025
Advisor changed firm
Janak R Desai left Compass Financial Management Llc for Dmk Advisor Group, Inc. (registered 2025-07-07)
Form ADVobserved 6 days ago
Occurred
Apr 3, 2025
Regulatory AUM changed
Compass Financial Management Llc reported RAUM $519.0M, up 27% from $409.4M (2024-05-10 to 2025-04-03)
Form ADVobserved 6 days ago
$110M
Occurred
Mar 21, 2024
Regulatory AUM changed
Compass Financial Management Llc reported RAUM $409.4M, up 55% from $263.6M (2024-02-28 to 2024-03-21)
Form ADVobserved 6 days ago
$146M
Occurred
Jan 16, 2024
Advisor changed firm
Maurice Hamilton Patterson left Compass Financial Management Llc for Mayflower Advisors (registered 2026-04-14)
Form ADVobserved 6 days ago
Occurred
Feb 6, 2020
Control person joined
Matthew Markowski (Director/Cco/Managing Member) appeared on Schedule A of Compass Financial Management Llc
Form ADVobserved 6 days ago
Occurred
Feb 6, 2020
Control person joined
John Michael Markowski (Director/Managing Member) appeared on Schedule A of Compass Financial Management Llc
Form ADVobserved 6 days ago
Occurred
Feb 6, 2020
Control person joined
Christopher Markowski (Director/Managing Member) appeared on Schedule A of Compass Financial Management Llc
Form ADVobserved 6 days ago
Occurred
Feb 6, 2020
Control person left
Christman Robert Kleiber (Managing Member / Chief Compliance Officer) no longer on Schedule A of Compass Financial Management Llc (listed 2012-06-25, absent 2020-02-06)
Form ADVobserved 6 days ago
Occurred
Feb 6, 2020
Control person left
Karen Jill Graceffo (Member) no longer on Schedule A of Compass Financial Management Llc (listed 2012-06-25, absent 2020-02-06)
Form ADVobserved 6 days ago
Occurred
Feb 6, 2020
First Form ADV filing
Compass Financial Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 3 bookkeeping events

Occurred
Mar 27, 2026
Compass Financial Management Llc reported 36 offices beyond its principal office, up from 24 (2026-01-30 to 2026-03-27)
Occurred
Apr 3, 2025
Compass Financial Management Llc reported 24 offices beyond its principal office, up from 7 (2024-05-10 to 2025-04-03)
Occurred
Mar 21, 2024
Compass Financial Management Llc reported 20 state-registered advisory representatives, up from 7 (2024-02-28 to 2024-03-21)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a876d00-5cda-92a6-3471-1789ef21895b
First observed: Dec 14, 2011
Last observed: May 18, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

COMPASS FINANCIAL MANAGEMENT LLC

CRD 156345

TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0a876d00-5cda-92a6-3471-1789ef21895b

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

J'NEANNE MARY THEUS

n/a

SUNBURY, OH | Sunbury, OH

JOSEPH WILLIAM DISE

n/a

TAMPA, FL | Treasure Island, FL

KATHRYN AIKSNORAS DENNEN

n/a

Oxford, CT

PETER JOHN AIKSNORAS

n/a

Oxford, CT

n/a

MICHAEL THOMAS LEE

n/a

New York, NY

FREDERICK EUGENE MOWERY

n/a

Allen, TX

STEVEN CRAIG WALSTAD

n/a

Bloomington, MN

HAROLD ALAN SCHWARTZ

n/a

yes

MICHAEL CLARENCE FERRIN

n/a

Clemmons, NC

JAMES ROBERT DAVENPORT

Certified Financial Planner

Sarasota, FL

NATHAN LEE WILSON

n/a

Bellvue, CO

BELINDA MARIE LUSK

n/a

Chicago, IL

JOHN GEORGE DANIELS

n/a

Sarasota, FL

ELISEA TANTUAN FRISHBERG

n/a

HIALEAH, FL

MARK ALAN FLEMING

Certified Financial Planner

OAK BROOK, IL

JESSE JOHN LIPSCOMB

n/a

San Diego, CA

GEOFFREY MCHALE GARFIELD

n/a

Darien, CT

WENDELL BRENEMAN STEWART

n/a

Windham, NH

ROBERT DAVID ZODA

Certified Financial Planner

MONTGOMERY, TX

KEVIN DAVID HARWOOD

n/a

Tampa, FL

WILLIAM CHRISTIAN GABRIELSEN

n/a

Biddeford, ME

SCOTT EVAN GREENE

n/a

Tampa, FL

Justin Kelly

n/a

St. Petersburg, FL

ALBERT DANIEL SOUZA

n/a

Seattle, WA

TANNER HARWOOD

n/a

TAMPA, FL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MARKOWSKI, CHRISTOPHER

DIRECTOR/MANAGING MEMBER

yes

07/2018

Feb 6, 2020

May 10, 2024

MARKOWSKI, MATTHEW

DIRECTOR/CCO/MANAGING MEMBER

yes

07/2018

Feb 6, 2020

May 10, 2024

MARKOWSKI, MICHAEL, JOHN

DIRECTOR/MANAGING MEMBER

yes

07/2018

Feb 6, 2020

May 10, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MARKOWSKI BROTHERS HOLDING CORPORATION

n/a

Independent wealth

$474M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Lutz

United States

Sarasota

United States

TREASURE ISLAND

United States

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$894M

n/a

2024

Apr 3, 2025

$519M

n/a

2023

Mar 21, 2024

$409M

n/a

2022

Mar 28, 2023

$264M

n/a

2021

Feb 18, 2022

$221M

$206M

n/a

2020

Feb 12, 2021

$143M

n/a

2011

Mar 26, 2012

$59.4M

$42.2M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

13.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$894M

$519M

72.2%

$264M

50.2%