SourcingSourcing

COMPASS FINANCIAL ADVISORS LLC

C47
CRD 109131·SEC 801-56002·FORT WAYNE, IN
AUM
$282.5M
$100M-$500M
Est. Revenue
$2.8M
@ 1% on AUM
Est. EBITDA
$847K
@ 30% margin
Est. Deal Value
$6.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
COMPASS FINANCIAL ADVISORS LLC
CRD
109131
SEC file #
801-56002
EIN
352045037
DBA names
—

Economics

AUM
$282.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$189.8M → $282.5M▲ +49%
Client mix
Individuals Other489
Individuals High Net Worth145
Pension Profit Sharing Plans16
Charitable Organizations6
Corporations2

Operations

Employees (total)
9
Advisory staff (per ADV)
9
Advisory staff (5-yr trend)
'20'26
11 advisors → 9 advisors▼ -18%
Primary office
FORT WAYNE IN
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/26/2026
ADV-W filed at
—
Website
linkedin.com/company/compass-financial-advisors/about(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FOUGHT, DAVID, EUGENE
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
6
Control Persons
FOUGHT, DAVID, EUGENE
MALINGS, CLIFFORD, LEE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:compass.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
18,443
Form 5500 Compensation Trajectory 3y
202618,443
Form 5500 Plan Count Trajectory 3y
20261
Schedule C Total Compensation
18,443
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001913221
Edgar Registered
Yes
Edgar Filing Count
8
Edgar First Filing Date
2022-02-24
Edgar Last Filing Date
2023-11-13
Edgar 13f Count
8
Edgar 13f Latest AUM Estimate
Filing Date2023-11-13
Accession0001765380-23-000230

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
7
Bc Firm IAR Count
7
Custodian Candidates
Full
Pershing4
E*trade4
Edgar Addresses
Mailing
9933 DUPONT CIRCLE DRIVE WESTSUITE 100FORT WAYNE, IN 46825
Business
9933 DUPONT CIRCLE DRIVE WESTSUITE 100FORT WAYNE, IN 46825
Edgar EIN
352045037
Edgar Recent Filings
13F-HR2023-11-13 · 0001765380-23-000230
13F-HR2023-08-15 · 0001765380-23-000183
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
4917815
Trust Company Affiliate
No

People (9)

9
FOUGHT, DAVID, EUGENE
Direct Owner · 62.5%
4917815
MALINGS, CLIFFORD, LEE
IAR · Direct Owner · 17.5%
5044575
FISEL, LYNN, RAY
IAR · Direct Owner · 7.5%
2074195
GUTMAN, KURT, ALAN
IAR · Executive Officer · 2.5%
2839761
BOBOS, JAMES, JOSEPH
IAR · Executive Officer · 2.5%
4387667
KIM, KEVIN, MIN
Executive Officer · 2.5%
8004229
James Andrew Weber
IAR
7054819
MICHAEL HOWARD SIMPSON
IAR
4223513
CHRISTOPHER JOHN SWANSON
IAR
1233703