Wealth manager, bank-affiliated · Baltimore, MD
Equitycompass Investment Management, LLC
SEC-registered investment adviser · CRD 145420 · SEC 801-69131
At a glance
Equitycompass Investment Management, LLC is an SEC-registered investment adviser based in Baltimore, Maryland, with $221 million in regulatory assets under management as of its Form ADV filed March 16, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 163 individual clients. By Form ADV it is a wealth manager (bank-affiliated), ranked 5,457th of 8,915 wealth managers and 11,744th of 17,210 SEC-registered advisers by assets.
Main office 443-224-1231equitycompass.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $221M
- Rank among wealth managers
- #5,457 of 8,915
- Rank among all SEC RIAs
- #11,744 of 17,210
- Rank in Maryland
- #175 of 227
- Individual clients
- 163
- High-net-worth clients
- 13
- Accounts
- 163
- Discretionary
- 100% of AUM
- Employees
- 14
- Advisory staff
- 10
- Offices
- 6
Owners and executives on its Form ADV
- Bobby (. ThomasVice President
- Christopher M. MutascioVice President
- Robert G. HagstromChief Investment Officer
- Avi L SteinChief Financial Officer
- Michael A. SperoChief Compliance Officer
Custody and brokerage
Custodian
- Stifel, Nicolaus & Company, IncorporatedAffiliate of the firm$69M
Broker-dealer
Hybrid RIA
Equitycompass Investment Management, LLC is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Eaton Partners (UK) LLP, Keefe, Bruyette & Woods, Inc., Stifel Europe AG, Stifel Hong Kong Limited, Stifel Nicolaus Canada Inc., Stifel Nicolaus Europe Limited, Stifel Nicolaus Israel LTD., Stifel Schweiz AG and Stifel, Nicolaus & Company, Incorporated.
- Eaton Partners (UK) LLP
- Keefe, Bruyette & Woods, Inc. ↗CRD 481
An introducing broker-dealer: its trades clear through Stifel, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- Stifel Europe AG
- Stifel Hong Kong Limited
- Stifel Nicolaus Canada Inc.
- Stifel Nicolaus Europe Limited
- Stifel Nicolaus Israel LTD.
- Stifel Schweiz AG
- Stifel, Nicolaus & Company, Incorporated ↗CRD 793
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 13 | $141M | 64% |
| Individuals | 150 | $80M | 36% |
Disciplinary disclosures
Equitycompass Investment Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗equitycompass.com ↗
AtlasMembers
The full record on Equitycompass Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 6,153 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Equitycompass Investment Management, LLC manage?
Equitycompass Investment Management, LLC reports $221 million in regulatory assets under management across 163 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 16, 2026.
What kind of firm is Equitycompass Investment Management, LLC?
Equitycompass Investment Management, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Equitycompass Investment Management, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($141 million, 13 clients); individuals ($80 million, 150 clients).
Does Equitycompass Investment Management, LLC have any disciplinary history?
Equitycompass Investment Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Equitycompass Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-16), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →