A Registered Investment Adviser (RIA) is an individual or firm who is registered with either the Securities and Exchange Commission (SEC) or state securities authorities and who provides advice and offers analyses on investments based on a client's individual needs. Being independent means that the individual or firm does not have ties to any one specific company, but instead is directed by its advisers and their clients needs.
As RIAs, it is our legal and fiduciary duty to put our clients’ interests first. Because we are independently-owned and have no ties to any specific company, we can tailor our advice to meet our clients' individual goals. We also work directly with a specially-trained team that provides services such as preparation of monthly statements and execution of trades—allowing us to focus more time and energy on our clients.
Our fees are based on a percentage of assets we manage for you—that means there are no upfront costs for any of our services. This method provides us the ability to negate all the up-front load fees, surrender fees and trade fees and provide our clients with monthly statements and tax reporting. This system provides two advantages. It keeps you from paying upfront costs and it also motivates the Compass Financial Group team to monitor and encourage growth for all our clients' investments. The bottom line is this: your success is our success.
We have the freedom to choose mutual funds and ETFs from a variety of companies because we are independent. As a result, we can select the best funds to meet your personal investment goals, and we have the freedom and flexibility to diversify your portfolio for both your short-term and long-term needs.
Being an independent agency, we have the flexibility to provide in-house services that address an array of complex needs, including estate planning and insurance. We also offer a diverse network of professional affiliations with expertise in a variety of areas to assist our clients with tax planning, accounting, and many other complex financial needs. Simply put, we have the ability to help clients with more than just investments.
In order to help achieve and maintain our clients’ financial goals, we strive to form personal, long-term relationships with those we serve through frequent interaction. Because Compass Financial Group is independently-owned by John, Jesse, and Jasen the accountability of the client-adviser relationship rests solely on our shoulders. This creates a strong sense of accountability to our clients.
We hold the majority of our clients' investments with TD Ameritrade, an independent, third-party brokerage firm, which provides valuable safety measures and a natural system of checks and balances. We are also required to maintain public business records, which provides greater accountability for us and deeper peace of mind for our clients.
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Compass Financial Group, INC is a registered investment adviser. Information presented is for educational purposes only and does not intend to make an offer or solicitation for the sale or purchase of any securities product or service. Investments involve risk and unless otherwise stated, are not guaranteed. Be sure to first consult with a qualified financial adviser, tax professional, or attorney before implementing any strategy or recommendation discussed herein. Investment advisory services are offered through Compass Financial Group, INC. Insurance products and services are offered separately through individual licensed and appointed agents.
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