SourcingSourcing

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

B65
CRD 145420·SEC 801-69131·BALTIMORE, MD
AUM
$220.9M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$663K
@ 30% margin
Est. Deal Value
$5.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC
CRD
145420
SEC file #
801-69131
EIN
—
DBA names
—

Economics

AUM
$220.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$168.0M → $220.9M▲ +31%
Client mix
Individuals Other150
Individuals High Net Worth13

Operations

Employees (total)
14
Advisory staff (per ADV)
10
Advisory staff (5-yr trend)
'20'26
11 advisors → 10 advisors▼ -9%
Primary office
BALTIMORE MD
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
equitycompass.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
STIFEL FINANCIAL CORPORATION
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
STIFEL FINANCIAL CORPORATION
HAGSTROM, ROBERT, GEORGE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
EQUITYCOMPASS.COM
Rdap Domain Creation Date
2005-11-01T00:01:09Z
Rdap Firm Age Years
21
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
E*trade4
Raymond James2
Wells Fargo1
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-05-15T11:59:59Z
Rdap Domain Last Changed
2026-03-16T06:35:06Z
Rdap Nameservers
Edns1.ultradns.bizEdns1.ultradns.comEdns1.ultradns.netEdns1.ultradns.org
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
Yes

People (8)

8
HAGSTROM, ROBERT, GEORGE
IAR · Executive Officer · 2.5%
1175438
THOMAS, BOBBY, (NMN)
IAR · Executive Officer · 2.5%
5163293
CHRISTOPHER MARK MUTASCIO
Executive Officer · 2.5%
2917954
Spero, Michael, Alexander
Executive Officer · 2.5%
4638465
STEIN, AVI, L
Executive Officer · 2.5%
5835030
MICHAEL SCOTT SCHERER
IAR
3101542
TIMOTHY MICHAEL MCCANN
IAR
2836429
BERNARD JOSEPH KAVANAGH
IAR
2496007