{"url":"https://nivawealth.com/firms/compass-private-wealth-group-316785","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/316785","regulatoryAum":113345908,"crd":"316785","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5822448","suffix":null,"lastName":"CICCONE","firstName":"WILLIAM","middleName":"BRETT"},{"crd":"5011088","suffix":null,"lastName":"PIETRYKA","firstName":"DOROTA","middleName":"BERNADETTA"},{"crd":"3139277","suffix":null,"lastName":"RUIZ","firstName":"MANUEL","middleName":null}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-25","regulatoryAum":100799080,"clients":128,"employees":3,"offices":1},{"filedOn":"2026-06-11","regulatoryAum":113345908,"clients":80,"employees":3,"offices":1}],"secFileNumber":"801-132197","legalName":"Compass Private Wealth Group LLC","displayName":"Compass Private Wealth 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2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1416823.85,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":2,"promoters":1},"aum":{"regulatory":113345908,"discretionary":109526287,"discretionaryAccounts":246,"nonDiscretionary":3819621,"nonDiscretionaryAccounts":13,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":4},"clientTypes":[{"label":"Individuals (other than HNW)","clients":13,"regulatoryAum":6002391},{"label":"High-net-worth individuals","clients":67,"regulatoryAum":107343517}],"feePrograms":[{"role":"main","program":"Wealth Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048100","versionId":1048100,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-06-11","documentName":"CPW DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY","fee_rate_low":0.5,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Standalone financial planning is billed hourly at up to $300 per hour, or as a fixed engagement fee based on the expected hours.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048100","versionId":1048100,"submittedOn":"2026-06-11","documentName":"CPW DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY"},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Retirement plan advisory fees are an annual asset-based fee ranging from 0.25% to 1.00%, based on plan size and scope of services.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048100","versionId":1048100,"submittedOn":"2026-06-11","documentName":"CPW DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:04:25.372559+00:00","documents":[{"name":"CPW DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048100","versionId":1048100,"submittedOn":"2026-06-11"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":113345908}],"custodyNote":"Compass Private Wealth Group has custody of $11.1M in client assets for 28 clients.","otherCustodians":[],"leadership":[{"name":"Dorota Pietryka","title":"Chief Compliance Officer and Chief Operating Officer","crd":"5011088"},{"name":"William Ciccone","title":"Managing Member / Managing Partner","crd":"5822448"},{"name":"Manuel Ruiz","title":"Managing Member / Managing Partner","crd":"3139277"}],"ownership":[{"label":"Manuel Ruiz","detail":"Managing member / managing partner in the 50% to 75% ownership band and a control person, since November 2021."},{"label":"William Ciccone","detail":"Managing member / managing partner in the 50% to 75% ownership band and a control person, since November 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"51 JFK Parkway, 1st FL W, Suite 107","city":"Short Hills","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"908-615-2249","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":29},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":15},{"label":"Securities issued by registered investment companies or business development companies","percent":48},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"11 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/316785/PDF/316785.pdf","brochureDate":"11 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048100","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Compass Private Wealth Group have?","answer":"Compass Private Wealth Group has 80 clients and manages $113 million for them, as of June 2026. They include 67 high-net-worth individuals and 13 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Compass Private Wealth Group offer?","answer":"Compass Private Wealth Group provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Compass Private Wealth Group charge?","answer":"Compass Private Wealth Group charges 0.50%–2.00% a year for its Wealth Management Services. The fee is billed in arrears and is negotiable.","source":"CPW DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY, filed 11 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Compass Private Wealth Group use?","answer":"Compass Private Wealth Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $113M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Compass Private Wealth Group have?","answer":"Compass Private Wealth Group has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 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 Private Wealth Group invest in?","answer":"At the end of its last fiscal year, Compass Private Wealth Group’s separately managed accounts held 48% registered funds (mutual funds, ETFs, BDCs), 29% exchange-traded equities, 15% investment grade corporate bonds, 6% cash and equivalents, 1% U.S. government and agency bonds and 1% state and local bonds.","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 Private Wealth Group?","answer":"Compass Private Wealth Group’s direct owners are Manuel Ruiz (50% to 75%) and William Ciccone (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 11 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Compass Private Wealth Group get paid?","answer":"Compass Private Wealth Group is paid through a percentage of assets under management, hourly charges and fixed fees. 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":"How do I contact Compass Private Wealth Group?","answer":"Compass Private Wealth Group’s main office is at 51 JFK Parkway, 1st FL W, Suite 107, Short Hills, NJ 07078. Its phone number is 908-615-2249. Its website is compasspw.com.","source":"Form ADV Part 1A, Item 1.F, filed 11 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}