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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

COMPASS FINANCIAL ADVISORS LLC

CRD 106809

MEMPHIS, TN

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Search this name across graphsid dfx:ria:b7237564-d89a-b35b-bb56-4099649932b7

Data as of Sep 25, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Sep 25, 2014
8 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Compass Financial Advisors LLC

Private equity manager · shared crd

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: $148MItem 5.F on the latest filing (2014-09-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $146M
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: 2
Advisory employees: 1
Accounts: 64
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $167,690gross asset value as reported per fund; never fund size
SEC number: 801-49054
CRD: 106809
Filings on the tape: 8
First filed: Mar 30, 2012
Latest filed: Sep 25, 2014
Organised: Limited Liability Company, Tennessee

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
COMPASS GLOBAL MANAGEMENT, LTD.	Private Equity Fund	$250M	Mar 27, 2014	4	Mar 30, 2012	reported	n/a
TRADITIONAL INVESTMENT FUND, LTD.	Liquidity Fund	$205M	Mar 28, 2013	6	Mar 30, 2012	dropped	n/a
THE KERROSEN GLOBAL FUND LTD.	Hedge Fund	$7.3M	Mar 28, 2013	0	Mar 30, 2012	dropped	n/a
PRUDENT PARTNERS, LP	Liquidity Fund	$167,690	Sep 25, 2014	15	Mar 30, 2012	reported	n/a

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
WALLACE, THOMAS, LEE	OWNER/CHIEF COMPLIANCE OFFICER	E	yes	01/1994	Mar 30, 2012	Sep 25, 2014

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
2013	May 15, 2014	$51.7M	$51.7M	2	1	n/a	1	$167,690
2012	Mar 28, 2013	$148M	$146M	4	3	n/a	4	$250M
2011	Mar 30, 2012	$150M	$86.9M	n/a	n/a	n/a	4	$67.8M

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
2013	$148M	$148M	0.0%	n/a	n/a	2	4	n/a	n/a

Relationships

Advises (4)

→ PRUDENT PARTNERS, LPPrivate fundLiquidity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ COMPASS GLOBAL MANAGEMENT, LTD.Private fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ TRADITIONAL INVESTMENT FUND, LTD.Private fundLiquidity Fund, IA, no longer reported
Mar 30, 2012 to Mar 28, 2013factForm ADV
→ THE KERROSEN GLOBAL FUND LTD.Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 28, 2013factForm ADV

Controls (1)

← WALLACE, THOMAS, LEEOwnerOWNER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7237564-d89a-b35b-bb56-4099649932b7
First observed: Mar 30, 2012
Last observed: Sep 25, 2014 145 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 ADVISORS LLC

CRD 106809

MEMPHIS, 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:b7237564-d89a-b35b-bb56-4099649932b7

Data as of Sep 25, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

COMPASS GLOBAL MANAGEMENT, LTD.

Private Equity Fund

$250M

Mar 27, 2014

Mar 30, 2012

reported

n/a

TRADITIONAL INVESTMENT FUND, LTD.

Liquidity Fund

$205M

Mar 28, 2013

Mar 30, 2012

dropped

n/a

THE KERROSEN GLOBAL FUND LTD.

Hedge Fund

$7.3M

Mar 28, 2013

Mar 30, 2012

dropped

n/a

PRUDENT PARTNERS, LP

Liquidity Fund

$167,690

Sep 25, 2014

Mar 30, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WALLACE, THOMAS, LEE

OWNER/CHIEF COMPLIANCE OFFICER

yes

01/1994

Mar 30, 2012

Sep 25, 2014

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

May 15, 2014

$51.7M

n/a

$167,690

2012

Mar 28, 2013

$148M

$146M

n/a

$250M

2011

Mar 30, 2012

$150M

$86.9M

n/a

$67.8M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$148M

0.0%

n/a