Compass Rose Financial Planning & Investment Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
134
Very HighAverage account size
—
About
Compass Rose Financial Planning & Investment Management is a fee-only advisory firm that provides integrated financial planning and asset allocation and portfolio monitoring services for individual households and families. The firm reports approximately $155.5 million of non-discretionary client assets under monitoring as of December 31, 2024.
The firm uses MoneyGuidePro for financial planning, applies Modern Portfolio Theory for portfolio construction, and relies on Morningstar research and low‑expense considerations when selecting mutual funds and ETFs; advisers present an Investment Policy Statement and implement changes only with client approval. Portfolios are generally managed on a long‑term basis, reviewed at least semi‑annually, and rebalanced or adjusted following client consultations to address tax and risk‑tolerance considerations.
Compared with many investment-manager peers that run pooled or institutional discretionary mandates, Compass Rose operates as a small, single‑adviser, fee‑only practice focused on combining planning with non‑discretionary monitoring and does not charge performance‑based fees or vote client securities. The firm recommends Schwab as its primary custodian and receives institutional support services from Schwab—an operational resource the brochure discloses as a potential conflict of interest.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
College savings (529s, UTMA, etc.)
Fee options
$500,000 - $999,999: 0.85% $1,000,000 - $1,999,999: 0.75% $2,000,000 - $2,999,999: 0.65% $3,000,000+: Negotiable
Account minimum: $500,000 Fee-only: Fee-only investment advisory services; no commissions received.
Main office location
Compass Rose Financial Planning & Investment Management
333 North Palm Canyon Drive, Suite 112 A
Palm Springs CA 92262, United States
Number of offices
1
Most active in
Compass Rose Financial Planning & Investment Management has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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