Wealth Compass Financial provides portfolio management for individuals and small businesses and selecting other managers.
Wealth Compass Financial reports 251 clients. They include 198 individual clients, 38 high-net-worth individuals, and 15 pension and profit-sharing plans. Of its assets, 99.9% ($115M across 567 accounts) are managed with discretion; $147K across 1 account is not. It advised 146,699 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 79% | 45% |
| High-net-worth individuals | 15% | 53% |
| Pension and profit-sharing plans | 6% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 198 | $52.2M | 45.2% | $263K |
| High-net-worth individuals | 38 | $60.9M | 52.8% | $1.6M |
| Pension and profit-sharing plans | 15 | $2.31M | 2.0% | $154K |
| Total | 251 | $115M | 100% | $460K |
- Clients
- 198
- Regulatory AUM
- $52.2M
- AUM share
- 45.2%
- Avg. per client
- $263K
- Clients
- 38
- Regulatory AUM
- $60.9M
- AUM share
- 52.8%
- Avg. per client
- $1.6M
- Clients
- 15
- Regulatory AUM
- $2.31M
- AUM share
- 2.0%
- Avg. per client
- $154K
Total
- Clients
- 251
- Regulatory AUM
- $115M
- AUM share
- 100%
- Avg. per client
- $460K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 146,699
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Wealth Compass Financial charges 0.75%–1.50% a year for its Portfolio Management Fees. The fee is billed in arrears and is negotiable.
Fee details and sources
Steven Nuckols owns 75% or more of Wealth Compass Financial. The leadership team of Wealth Compass Financial includes President Steven Nuckols. It has 2 employees.
Leadership
- Steven NuckolsPresident & Chief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- 2 insurance agents
- Owns 75% or more of Wealth Compass Financial, Inc.
Steven Nuckols
Control person · since September 2017
Besides its headquarters, Wealth Compass Financial has 1 office, with 2 listed addresses in California.
California · 2 listed addresses
- 5860 Owens Avenue, Suite 100, CarlsbadHQ
- 940 Canterbury Place, Escondido
Contact and registration details
- Legal name
- Wealth Compass Financial, Inc.
- Headquarters
- 5860 Owens Avenue, Suite 100, Carlsbad, CA 92008
- Website
- wealthcompass.com
- Phone
- 760-509-4000
- @11350803
- SEC file
- 801-134778
- Structure
- Georgia corporation
- Fiscal year end
- December
Wealth Compass Financial uses Fidelity ($97M, 84%) and Charles Schwab ($18.3M, 16%) as custodians for its separately managed accounts. Wealth Compass Financial does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $18.3M16%
- FidelityFidelity Investments · Covington, KY · $97M84%
At year end, Wealth Compass Financial’s separately managed accounts were mostly in funds (80%) and cash (11%).
What the accounts hold
- Stocks9%
- Funds80%
- Cash11%
How many clients does Wealth Compass Financial have?
Wealth Compass Financial has 251 clients and manages $115 million for them, as of April 2026. They include 198 individual clients, 38 high-net-worth individuals, and 15 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 April 2026
What services does Wealth Compass Financial offer?
Wealth Compass Financial provides portfolio management for individuals and small businesses and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Wealth Compass Financial charge?
Wealth Compass Financial charges 0.75%–1.50% a year for its Portfolio Management Fees. The fee is billed in arrears and is negotiable.
Source: 2026 04 27 WEALTH COMPASS FINANCIAL FORM ADV PART 2A DISCLOSURE BROCHURE, filed 27 April 2026
Which custodians does Wealth Compass Financial use?
Wealth Compass Financial’s separately managed account assets are held at Fidelity Investments (Covington, KY), with $97M and Charles Schwab & Co., Inc. (San Francisco, CA), with $18.3M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 April 2026
How many financial advisors does Wealth Compass Financial have?
Wealth Compass Financial has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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
What does Wealth Compass Financial invest in?
At the end of its last fiscal year, Wealth Compass Financial’s separately managed accounts held 80% registered funds (mutual funds, ETFs, BDCs), 11% cash and equivalents and 9% exchange-traded equities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Wealth Compass Financial?
Wealth Compass Financial’s direct owner is Steven Nuckols (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 April 2026
How does Wealth Compass Financial get paid?
Wealth Compass Financial 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 Wealth Compass Financial?
Wealth Compass Financial’s main office is at 5860 Owens Avenue, Suite 100, Carlsbad, CA 92008. Its phone number is 760-509-4000. Its website is wealthcompass.com.