EquityCompass Investment Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
EquityCompass Investment Management reports 163 clients. They include 150 individual clients and 13 high-net-worth individuals. Of its assets, 100.0% ($221M across 163 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $216M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 92% | 36% |
| High-net-worth individuals | 8% | 64% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 150 | $79.8M | 36.1% | $532K |
| High-net-worth individuals | 13 | $141M | 63.9% | $10.9M |
| Total | 163 | $221M | 100% | $1.36M |
- Clients
- 150
- Regulatory AUM
- $79.8M
- AUM share
- 36.1%
- Avg. per client
- $532K
- Clients
- 13
- Regulatory AUM
- $141M
- AUM share
- 63.9%
- Avg. per client
- $10.9M
Total
- Clients
- 163
- Regulatory AUM
- $221M
- AUM share
- 100%
- Avg. per client
- $1.36M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
EquityCompass Investment Management is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Stifel Financial Corporation owns 75% or more of EquityCompass Investment Management. The leadership team of EquityCompass Investment Management includes President Christopher Mutascio, Chief Investment Officer Robert Hagstrom and Chief Financial Officer Avi Stein. It has 14 employees, 10 of them in advisory roles.
Leadership
Christopher MutascioVice President
Bobby ThomasVice President- Avi SteinChief Financial Officer
- Michael SperoChief Compliance Officer
Robert HagstromChief Investment Officer
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
Staff
- 14 employees
- 10 in advisory functions
- 5 state-registered reps
- 5 broker-dealer reps
- Owns 75% or more of Equitycompass Investment Management, LLC
Stifel Financial Corporation
Control person · since January 2019
EquityCompass Investment Management’s regulatory assets grew from $153M (July 2021) to $221M (March 2026); clients rose from 140 to 163 and employees fell from 25 to 14.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $221M | 163 | 14 | 6 |
| Jun 2025June 2025 | $223M | 158 | 14 | 6 |
| Jun 2024June 2024 | $179M | 109 | 14 | 5 |
| Mar 2023March 2023 | $184M | 111 | 16 | 4 |
| Mar 2022March 2022 | $221M | 119 | 15 | 4 |
| Jul 2021July 2021 | $153M | 140 | 25 | 4 |
Besides its headquarters, EquityCompass Investment Management has 5 offices, with 6 listed addresses across 6 states.
Colorado · 1 listed address
- 12 Vail Road, Vail
Florida · 1 listed address
- 3150 Cardinal Drive, Vero Beach
Maryland · 1 listed address
- One South Street, 25th Floor, BaltimoreHQ
Massachusetts · 1 listed address
- 125 High Street, Boston
New York · 1 listed address
- 1095 Avenue of the Americas, New York
South Carolina · 1 listed address
- 1276 May River Road, Bluffton
Other business names
EquityCompass Investment Management has reported 1 other business name to the SEC.
- Equitycompass Strategies
Contact and registration details
- Legal name
- Equitycompass Investment Management, LLC
- Headquarters
- One South Street, 25th Floor, Baltimore, MD 21202
- Website
- equitycompass.com
- Phone
- 443-224-1231
- @equitycompass-strategies
- SEC file
- 801-69131
- Founded
- 2007
- Structure
- Missouri LLC
- Fiscal year end
- December
EquityCompass Investment Management’s named custodian for separately managed accounts is Stifel, Nicolaus & Company ($68.9M). EquityCompass Investment Management has custody of client assets.
- Stifel, Nicolaus & CompanyStifel, Nicolaus & Company, Incorporated · St. Louis, MO · $68.9M100%
At year end, EquityCompass Investment Management’s separately managed accounts were mostly in funds (62%) and stocks (36%).
What the accounts hold
- Stocks36%
- Funds62%
- Cash2%
How many clients does EquityCompass Investment Management have?
EquityCompass Investment Management has 163 clients and manages $221 million for them, as of March 2026. They include 150 individual clients and 13 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026
What services does EquityCompass Investment Management offer?
EquityCompass Investment Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does EquityCompass Investment Management use?
EquityCompass Investment Management’s separately managed account assets are held at Stifel, Nicolaus & Company, Incorporated (St. Louis, MO), with $68.9M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026
How many financial advisors does EquityCompass Investment Management have?
EquityCompass Investment Management has 5 investment adviser representatives registered with state securities authorities, out of 14 employees, and 10 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 0 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
What does EquityCompass Investment Management invest in?
At the end of its last fiscal year, EquityCompass Investment Management’s separately managed accounts held 62% registered funds (mutual funds, ETFs, BDCs), 36% 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
Who owns EquityCompass Investment Management?
EquityCompass Investment Management’s direct owner is Stifel Financial Corporation (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 16 March 2026
How does EquityCompass Investment Management get paid?
EquityCompass Investment Management is paid through a percentage of assets under management. 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
How do I contact EquityCompass Investment Management?
EquityCompass Investment Management’s main office is at One South Street, 25th Floor, Baltimore, MD 21202. Its phone number is 443-224-1231. Its website is equitycompass.com.