Equitycompass Investment Management, LLC (Baltimore)

Name: Equitycompass Investment Management, LLC
Address: One South Street, Baltimore, MD, 21202
Telephone: 443-224-1231

Equitycompass Investment Management, LLC is a large advisory firm based in Baltimore. It manages $168.01 million of regulatory assets for 100 client accounts. It has been registered with the SEC as an adviser since 2019 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Equitycompass Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for businesses and institutional clients, selection of other advisers, and provide research and model portfolios. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Equitycompass Investment Management: assets under management

The assets under management (AUM) of Equitycompass Investment Management, LLC is $168.01 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $168.01 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.68 million each.

Investments

The firm invests in exchange traded securities the most. They account for 74% of the total AUM. The second-largest asset type is government bonds, which make up 7% of the firm’s portfolio. Investments in investment grade corporate bonds form 6% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Equitycompass Investment Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Scott Allen Roberts serves?

The firm provides services to individuals, investment companies, and high net worth individuals. The largest group of clients of Scott Allen Roberts is investment companies with 1 clients and $66.4 million of assets under management. Among the 6 most similar advisory firms, Equitycompass Investment Management has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $168.01 million for 100 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Equitycompass Investment Management doesn't advise any private funds.

Careers at Equitycompass Investment Management, LLC

The company employs 31 people that are either part- or full-time employees. 35 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Scott Allen Roberts has been acting as President since 1 Mar 2014. Robert George Hagstrom has served as the Chief Investment Officer since 1 Mar 2019. Monika Kumari Singh joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Scott Allen Roberts	President	1 Mar 2014	Other	2706025
Michael Chih Hao Chien	Secretary	1 Jan 2015	Other	5320859
Bobby Thomas	Vice president	1 Sep 2015	Other	5163293
Renee Marie Ansbro	Vice president, treasurer	1 May 2016	Other	2268316
Christopher Mark Mutascio	Vice president	1 Oct 2018	Other	2917954
Stifel Financial Corporation	Managing member	1 Jan 2019	75% - 100%	43-1274600
Richard Eric Cripps	Senior investment strategist	1 Mar 2019	Other	863281
Robert George Hagstrom	Chief investment officer	1 Mar 2019	Other	1175438
Monika Kumari Singh	Chief compliance officer	1 Sep 2019	Other	5018272

Based in Baltimore

The principal office where Equitycompass Investment Management, LLC performs its advisory services is located at One South Street, Baltimore, MD 21202, which is also the mailing address of the firm. An additional office of the firm is in Conshohocken, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 443-224-1231 or by fax 443-224-1394. The normal business hours are 8am - 5pm est on Monday - Friday. You can find more information about the New York firm at equitycompass.com and its LinkedIn profile.