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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

COMPASS EFFICIENT MODEL PORTFOLIOS, LLC

CRD 125568

BRENTWOOD, TN

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:145eddc8-3b1c-5575-82a6-30a2d9a82dff

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 31, 2015
7 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.6BItem 5.F on the latest filing (2015-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.6B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 11
Accounts: 388
SEC number: 801-61868
CRD: 125568
Filings on the tape: 7
First filed: Mar 29, 2012
Latest filed: Mar 31, 2015
Organised: Limited Liability Company, Tennessee

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
HAMMERS, STEPHEN, MICHAEL	MANAGING PARTNER	C	yes	02/2003	Mar 29, 2012	Mar 31, 2015
LOFTIN, PLESHETTA, JUANITA	CHIEF COMPLIANCE OFFICER	Na	yes	02/2012	Mar 29, 2012	Mar 31, 2015
MOORE, DAVID, JOE	MANAGING PARTNER	C	yes	10/2005	Mar 29, 2012	Mar 31, 2015
WALKER, ROBERT, WILLIAM	President	Na	yes	12/2009	Mar 29, 2012	Mar 31, 2015
GRAFFY, PAUL, DONALD	PRESIDENT OF SALES AND DISTRIBUTIONS	Na	no	12/2013	Mar 24, 2014	Mar 31, 2015

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015	$1.6B	$1.6B	18	11	n/a	n/a	n/a
2013	Mar 24, 2014	$1.3B	$1.3B	17	10	n/a	n/a	n/a
2012	Mar 25, 2013	$880M	$880M	16	9	n/a	n/a	n/a
2011	Mar 29, 2012	$864M	$864M	n/a	n/a	n/a	n/a	n/a

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
2014	$1.6B	$1.3B	23.4%	$864M	24.0%	18	17	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
COMPASS ADVISORY PARTNERS LLC	3	May 11, 2015	May 11, 2020	BRENTWOOD, TN	Team lift out	Other	42.9%

Relationships

Controls (4)

← MOORE, DAVID, JOEOwnerMANAGING PARTNER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← WALKER, ROBERT, WILLIAMOwnerPRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← LOFTIN, PLESHETTA, JUANITAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HAMMERS, STEPHEN, MICHAELOwnerMANAGING PARTNER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← GRAFFY, PAUL, DONALDOwnerPRESIDENT OF SALES AND DISTRIBUTIONS, ownership code NA, individual
Mar 24, 2014 to presentfactForm ADV

Moved with (1)

→ COMPASS ADVISORY PARTNERS LLCRegistered adviser3 advisors, team lift out
May 11, 2015 to May 11, 2020factForm ADV

Registered with (10)

← DAVID JOE MOOREAdvisorregistration: previous registration
Mar 28, 2007 to May 12, 2015factForm ADV
← STEPHEN MICHAEL HAMMERSAdvisorregistration: previous registration
Mar 28, 2007 to May 12, 2015factForm ADV
← MICHAEL CHRISTOPHER ORGANAdvisorregistration: previous registration
Jun 28, 2007 to May 12, 2015factForm ADV
← PAUL DONALD GRAFFYAdvisorregistration: previous registration
Mar 31, 2015 to May 11, 2015factForm ADV
← Pleshetta Juanita LoftinAdvisorregistration: previous registration
Jan 25, 2013 to May 11, 2015factForm ADV
← MATTHEW CALDWELL RIBBLEAdvisorregistration: previous registration
Jan 8, 2015 to May 11, 2015factForm ADV
← WILLIAM ELLIS WEBBAdvisorregistration: previous registration
Apr 20, 2009 to May 11, 2015factForm ADV
← KEITH RICHARD TELESCAAdvisorregistration: previous registration
Jul 17, 2008 to Dec 1, 2009factForm ADV
← BRENDAN KARL EASTERDAYAdvisorregistration: previous registration
Mar 29, 2007 to Jul 10, 2008factForm ADV
← TRAVIS WAYNE GIFFEYAdvisorregistration: previous registration
Mar 28, 2007 to Jul 9, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:145eddc8-3b1c-5575-82a6-30a2d9a82dff
First observed: Mar 29, 2012
Last observed: Mar 31, 2015 139 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 EFFICIENT MODEL PORTFOLIOS, LLC

CRD 125568

BRENTWOOD, TN

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:145eddc8-3b1c-5575-82a6-30a2d9a82dff

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:54 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAMMERS, STEPHEN, MICHAEL

MANAGING PARTNER

yes

02/2003

Mar 29, 2012

Mar 31, 2015

LOFTIN, PLESHETTA, JUANITA

CHIEF COMPLIANCE OFFICER

yes

02/2012

Mar 29, 2012

Mar 31, 2015

MOORE, DAVID, JOE

MANAGING PARTNER

yes

10/2005

Mar 29, 2012

Mar 31, 2015

WALKER, ROBERT, WILLIAM

President

yes

12/2009

Mar 29, 2012

Mar 31, 2015

GRAFFY, PAUL, DONALD

PRESIDENT OF SALES AND DISTRIBUTIONS

12/2013

Mar 24, 2014

Mar 31, 2015

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 31, 2015

$1.6B

n/a

2013

Mar 24, 2014

$1.3B

n/a

2012

Mar 25, 2013

$880M

n/a

2011

Mar 29, 2012

$864M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$1.6B

$1.3B

23.4%

$864M

24.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

COMPASS ADVISORY PARTNERS LLC

May 11, 2015

May 11, 2020

BRENTWOOD, TN

Team lift out

Other

42.9%