SourcingSourcing

COMPASS FINANCIAL SERVICES, INC.

C34
CRD 109441·SEC 801-118466·WEST DES MOINES, IA
AUM
$407.4M
$100M-$500M
Est. Revenue
$4.1M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
COMPASS FINANCIAL SERVICES, INC.
CRD
109441
SEC file #
801-118466
EIN
202172833
DBA names
Compass Financial Services

Economics

AUM
$407.4M
AUM band
$100M-$500M
AUM trajectory
'21'26
$181.0M → $407.4M▲ +125%
Client mix
Individuals Other788
Individuals High Net Worth317

Operations

Employees (total)
12
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'21'26
6 advisors → 6 advisors▬ 0%
Primary office
WEST DES MOINES IA
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
04/28/2026
ADV-W filed at
—
Website
linkedin.com/company/compassfinancialservices(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CONARD, STEVEN, ANTHONY
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
CONARD, STEVEN, ANTHONY
VAN HOUTEN, JUSTIN, EDWIN
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

SEC EDGAR

Edgar Cik
0002039088
Edgar Registered
Yes
Edgar Filing Count
6
Edgar First Filing Date
2025-01-28
Edgar Last Filing Date
2026-05-01
Edgar 13f Count
6
Edgar 13f Latest AUM Estimate
Filing Date2026-05-01
Accession0002072075-26-000006

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
7
Bc Firm Active IA Count
7
Bc Firm IAR Count
7
Custodian Candidates
Full
Lpl Financial4
E*trade4
Edgar Addresses
Mailing
4801 WESTOWN PARKWAYWEST DES MOINES, IA 50266
Business
4801 WESTOWN PARKWAYWEST DES MOINES, IA 50266
Edgar EIN
202172833
Edgar Recent Filings
13F-HR2026-05-01 · 0002072075-26-000006
13F-HR2026-02-27 · 0002039088-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
4370333
Trust Company Affiliate
No

People (8)

8
VAN HOUTEN, JUSTIN, EDWIN
IAR · Direct Owner · 37.5%
7044437
CONARD, STEVEN, ANTHONY
IAR · Direct Owner · 37.5%
4370333
LEMAN, GUY, ALLEN DUANE
IAR · Direct Owner · 17.5%
6191212
PEARSON, CALEB, WELLINGTON
IAR · Direct Owner · 17.5%
5802474
JULIE KAY GREER
Direct Owner · 17.5%
4978605
MICHELE ANN BJORKGREN
IAR
4578500
ALAN DAVID HULSTEIN
IAR
7349864
Steven Kent TALLMAN
IAR
8176167