Kompass Financial Advisors, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$8,800,000
Clients
21
5% high-net worth
Advisors
1
of 1 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
21
TypicalAverage account size
$419,048
About
Kompass Financial Advisors, Inc. is a small independent advisory firm that manages about $8.8 million for roughly 21 clients and serves individuals, trusts, estates, charitable organizations, corporations and retirement plans. The firm provides discretionary asset management using SEI mutual fund model portfolios, refers clients to registered third‑party managers, and offers ERISA plan services as a limited‑scope 3(21) fiduciary, plus management of fee‑based fixed index annuities.
Kompass typically implements client strategies by selecting SEI model portfolios or recommending third‑party managers, acting as a liaison, monitoring performance, and providing periodic account reviews and participant education for retirement plans. Client goals and restrictions are documented and Kompass assists with paperwork, account oversight and ongoing coordination with third‑party managers and custodians.
Distinctive items disclosed in the brochure include a May 2024 consent order and paid fine for a failure to register in a state after a relocation, which the firm reports as resolved and now in compliance. The firm is also a licensed insurance agency that earns commissions on insurance and annuity sales and maintains multiple referral arrangements with TPMs (including disclosed economic benefits from a TPM), each of which the brochure identifies as potential conflicts mitigated by disclosure and fiduciary procedures.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Annuities
Retirement plans for business owners (SEP, solo 401k)
Active portfolio management
Fee options
Client Directed Accounts (CDA) with Gradient Investments, LLC charge a flat fee of $300.
$0 - $499,999: 1.00% $500,000 - $999,999: 0.85% $1,000,000 - $2,499,999: 0.75% $2,500,000 - $5,000,000: 0.65% Over $5,000,000+: 0.50%
Kompass earns commissions for selling insurance products separate from advisory fees.
Account minimum: No minimum to open or maintain an account; however, third party advisers may impose minimums disclosed in their brochures. Specific minimums noted for certain third party managers: $50,000 minimum account size and $250,000 minimum annual account charge for R.T. Jones Capital Equities Management, Inc. Minimum fee: Minimum annual account charge of $250,000 for R.T. Jones Capital Equities Management, Inc.
Main office location
Kompass Financial Advisors, Inc.
Hamlet NE, United States
Number of offices
3
Most active in
Kompass Financial Advisors, Inc. has reported serving >5 clients in these states in the last 12 months.
Colorado · Kansas · Nebraska · Texas
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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.
-
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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