Kompass Financial Advisors, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$8,930,000
Clients
21
5% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
21
TypicalAverage account size
$425,238
About
Kompass Financial Advisors provides investment advisory services to individuals, trusts, estates, charitable organizations and business entities, offering discretionary asset management primarily through SEI mutual fund model portfolios, third‑party manager (TPM) referrals, and management of fee‑based fixed index annuities. The firm oversees roughly $8.93 million in client assets across a small number of client relationships and supports implementation and ongoing account servicing for the strategies it recommends.
The firm’s investment process emphasizes the use of model allocations and TPM programs, acting as a liaison to select, onboard and monitor third‑party managers while performing periodic account reviews and client suitability updates. Kompass customizes client engagements within those TPM frameworks and discloses that its compensation is predominantly percentage‑of‑AUM while it also receives referral and servicing fees from the TPMs it recommends.
Distinctive aspects include an affiliated insurance agency through which the firm’s principal is licensed to sell life, health, property/casualty and annuity products, a practice that generates commission compensation and is disclosed as a potential conflict of interest. The brochure also discloses a material regulatory event: a May 2024 Consent Order with the Nebraska Department of Banking & Finance for a registration lapse (a $10,700 fine that was paid), and the firm offers pension consulting/limited‑scope ERISA 3(21) services, both of which are less common among independent peers.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Annuities
Retirement plans for business owners (SEP, solo 401k)
Retirement income strategy
Fee options
$300 quarterly service fee technology fee charged per account or investment strategy for Gradient Investments clients.
$0 - $499,999: 1.00% $500,000 - $999,999: 0.85% $1,000,000 - $2,499,999: 0.75% $2,500,000 - $5,000,000: 0.65% Over $5,000,000+: 0.50%
Insurance products sold by Joshua D Taylor and Kompass earn commissions separate from advisory fees.
Minimum fee: $250,000 annually minimum account charge for R.T. Jones Capital Equities Management, Inc. referral Fee-only: Yes, advisory fees based on assets under management, no commissions for advisory services.
Main office location
Kompass Financial Advisors, Inc.
Hamlet NE, United States
Number of offices
3
Most active in
Kompass Financial Advisors, Inc. has reported serving >5 clients in these states in the last 12 months.
Colorado · Kansas · Nebraska · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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