{"url":"https://nivawealth.com/firms/equitycompass-investment-management-145420","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145420","regulatoryAum":220909965,"crd":"145420","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1175438","suffix":"JR","lastName":"HAGSTROM","firstName":"ROBERT","middleName":"GEORGE"},{"crd":"2496007","suffix":"III","lastName":"KAVANAGH","firstName":"BERNARD","middleName":"JOSEPH"},{"crd":"2836429","suffix":null,"lastName":"MCCANN","firstName":"TIMOTHY","middleName":"MICHAEL"},{"crd":"3101542","suffix":null,"lastName":"SCHERER","firstName":"MICHAEL","middleName":"SCOTT"},{"crd":"5163293","suffix":null,"lastName":"THOMAS","firstName":"BOBBY","middleName":"(NMN)"}],"total":5,"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":"2021-07-08","regulatoryAum":153312403,"clients":140,"employees":25,"offices":4},{"filedOn":"2022-03-31","regulatoryAum":221417101,"clients":119,"employees":15,"offices":4},{"filedOn":"2023-03-31","regulatoryAum":184137852,"clients":111,"employees":16,"offices":4},{"filedOn":"2024-06-06","regulatoryAum":179465950,"clients":109,"employees":14,"offices":5},{"filedOn":"2025-06-10","regulatoryAum":222608624,"clients":158,"employees":14,"offices":6},{"filedOn":"2026-03-16","regulatoryAum":220909965,"clients":163,"employees":14,"offices":6}],"secFileNumber":"801-69131","legalName":"Equitycompass Investment Management, LLC","displayName":"EquityCompass Investment Management","slug":"equitycompass-investment-management-145420","website":"https://equitycompass.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/145420/1de90ea7aa9d1272-r1.webp","tone":"light","width":262,"height":200,"sourceUrl":"https://www.equitycompass.com","sourceLabel":"Equitycompass Investment Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/equitycompass-strategies/","xUrl":"https://twitter.com/equitycompass","founded":"2007","organization":"Missouri limited liability company","fiscalYearEnd":"December","headquarters":{"street":"One South Street, 25th Floor","city":"Baltimore","state":"MD","stateName":"Maryland","country":"United States","postalCode":"21202"},"tradeNames":["Equitycompass Strategies"],"registration":{"secApproved":"8 May 2008","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1355275.8588957055,"staff":{"employees":14,"advisory":10,"brokerDealerReps":5,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":220909965,"discretionary":220909965,"discretionaryAccounts":163,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":215864897,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":150,"regulatoryAum":79830388},{"label":"High-net-worth individuals","clients":13,"regulatoryAum":141079577}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:39:19.507869+00:00","documents":[{"name":"EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC - FORM ADV PART 2A MARCH 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019370","versionId":1019370,"submittedOn":"2026-03-16"}]},"custodians":[{"name":"Stifel, Nicolaus & Company, Incorporated","shortName":"Stifel, Nicolaus & Company","location":"St. Louis, MO","smaAssets":68891497}],"custodyNote":"EquityCompass Investment Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Christopher Mutascio","title":"Vice President","crd":"2917954"},{"name":"Bobby Thomas","title":"Vice President","crd":"5163293"},{"name":"Avi Stein","title":"Chief Financial Officer","crd":"5835030"},{"name":"Michael Spero","title":"Chief Compliance Officer","crd":"4638465"},{"name":"Robert Hagstrom","title":"Chief Investment Officer","crd":"1175438"}],"ownership":[{"label":"Stifel Financial Corporation","detail":"Managing member in the 75% or more ownership band and a control person, since January 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":0},"listedOfficeAddresses":6,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"12 Vail Road","city":"Vail"}]},{"state":"Florida","offices":1,"addresses":[{"street":"3150 Cardinal Drive","city":"Vero Beach"}]},{"state":"Maryland","offices":1,"addresses":[{"street":"One South Street, 25th Floor","city":"Baltimore","headquarters":true}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"125 High Street","city":"Boston"}]},{"state":"New York","offices":1,"addresses":[{"street":"1095 Avenue of the Americas","city":"New York"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"1276 May River Road","city":"Bluffton"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"443-224-1231","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":36},{"label":"Securities issued by registered investment companies or business development companies","percent":62},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"16 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145420/PDF/145420.pdf","brochureDate":"16 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019370","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 EquityCompass Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does EquityCompass Investment Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does EquityCompass Investment Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does EquityCompass Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does EquityCompass Investment Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns EquityCompass Investment Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does EquityCompass Investment Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact EquityCompass Investment Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 16 March 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."}