{"url":"https://nivawealth.com/firms/compass-financial-services-109441","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109441","regulatoryAum":407449818,"crd":"109441","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4578500","suffix":null,"lastName":"BJORKGREN","firstName":"MICHELE","middleName":"ANN"},{"crd":"4370333","suffix":null,"lastName":"CONARD","firstName":"STEVEN","middleName":"ANTHONY"},{"crd":"7349864","suffix":null,"lastName":"HULSTEIN","firstName":"ALAN","middleName":"DAVID"},{"crd":"6191212","suffix":null,"lastName":"LEMAN","firstName":"GUY","middleName":"ALLEN DUANE"},{"crd":"5802474","suffix":null,"lastName":"PEARSON","firstName":"CALEB","middleName":"WELLINGTON"},{"crd":"8176167","suffix":null,"lastName":"TALLMAN","firstName":"Steven","middleName":"Kent"},{"crd":"7044437","suffix":null,"lastName":"VAN 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The fee is billed in advance and is negotiable.","source":"WRAP BROCHURE 020426, filed 4 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Compass Financial Services use?","answer":"Compass Financial Services’ separately managed account assets are held at LPL Financial LLC (Boston, MA), with $407M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Compass Financial Services have?","answer":"Compass Financial Services has 6 investment adviser representatives registered with state securities authorities, out of 12 employees, and 6 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Compass Financial Services invest in?","answer":"At the end of its last fiscal year, Compass Financial Services’ separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs), 3% exchange-traded equities and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Compass Financial Services?","answer":"Compass Financial Services’ direct owners are Steven Conard, Caleb Pearson, Julie Greer, Guy Leman and Justin Van Houten, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 28 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Compass Financial Services get paid?","answer":"Compass Financial Services is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Compass Financial Services registered with the SEC?","answer":"Yes, Compass Financial Services has been registered with the SEC as an investment adviser since 21 April 2020. Its CRD number is 109441 and its SEC file number is 801-118466.","source":"Form ADV Part 1A, Item 1, filed 28 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Compass Financial Services?","answer":"Compass Financial Services’ main office is at 4801 Westown Parkway, West Des Moines, IA 50266. Its phone number is 515-327-1020. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}