Regulatory Compliance Information

Compass Advisors LLC is a registered investment advisor with the state of Georgia. When the number of clients in a state exceeds five clients, Compass Advisors LLC will also register for service of process in that state. Compass Advisors LLC renders individualized responses to persons in a particular state only after complying with the state’s regulatory requirements, or pursuant to an applicable state exemption or exclusion.

In conjunction with each financial planning engagement, a copy of Form ADV, Part II, must be delivered to the client. You may request a copy of our Form ADV by contacting our firm.

This website provides general information about Compass Advisors LLC and is not intended to offer investment or financial planning advice through the Internet. This site provides a medium for you to read about our approach, to learn about our services and to be able to contact us for further information.

Compass Advisors LLC is allowed to transact business only in states in which we are registered, as cited above, or in which we are excluded or exempted from registration. We must also be registered or exempted or excluded from registration in any state in which we follow up on individualized responses to persons in that state that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation.

The material in this website is based on information generally available in the marketplace and is believed to be reliable and authoritative. However, it is not guaranteed as to its accuracy and does not constitute sufficient information to be the basis for sound investment decisions. The information is of a general nature and should not be applied indiscriminately to particular situations wherein it may not be completely applicable.

Compass Advisors LLC takes a long-term approach to investing, and investment recommendations are made only after a comprehensive review of a client’s situation. A comprehensive review includes an assessment of financial goals and priorities, time horizon, and risk tolerance. There are no performance guarantees expressed or implied. Past performance of a security or portfolio is no guarantee of similar success in the future.

For information concerning the licensure status or disciplinary history of Compass Advisors LLC, a prospective client should contact his or her state securities law administrator.

Hyperlinks on this website are provided as a convenience. Compass Advisors LLC disclaims any responsibility for information, services or products found on websites linked hereto.


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