Joseph William Dise

Compass Financial Management LLC

32 Years of Experience

3 Disclosures

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningHigh Net Worth

Compass Financial Management LLC

Compensation

Fee-Only (AUM)

Firm Size

34 advisors

Number of Clients

1,350 clients

Average Client Portfolio

$384K average

Assets Under Management

$519.0M

Fee Structure

Minimum Investment:$250K

Financial Planning:Investment management only

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $1.0M	1.95%
$1.0M - $3.0M	1.75%
$3.0M - $5.0M	1.50%
$5M+	1.00%

Fees are negotiable.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

Minimum Annual Fee:$1,200

Location

2422 W. Sunset Drive, Tampa, FL, 33629

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Regulatory

January 2019

Final

Customer Dispute

May 2003

Closed-No Action

Customer Dispute

August 2000

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Compass Financial Management LLC

August 2020 - Present · 5 yrs 6 mos

Previous Registrations

Dise Wealth Management Incorporated

March 2007 - December 2020 · 13 yrs 9 mos

Wachovia Securities, LLCBroker

July 2003 - March 2007 · 3 yrs 8 mos

Wachovia Securities, LLC

July 2003 - March 2007 · 3 yrs 8 mos

Prudential Securities Incorporated

October 2000 - July 2003 · 2 yrs 9 mos

Prudential Securities IncorporatedBroker

October 2000 - July 2003 · 2 yrs 9 mos

Infinex Investments, INC.Broker

October 1995 - November 2000 · 5 yrs 1 mo

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

January 1993 - October 1995 · 2 yrs 9 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.