Unclaimed Profile

William Lee Matthes

COMPASS ASSET MANAGEMENT LLC·GUILFORD, Connecticut

SIE, Series 3, Series 7, Series 8, Series 63, Series 65Clean record24 years registeredCOMPASS ASSET MANAGEMENT LLC

10 WATER STREET, GUILFORD, CT 06437CRD# 1127116Firm CRD# 106289

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

William Lee Matthes · GUILFORD, CT

Registration

CRD #1127116 · COMPASS ASSET MANAGEMENT LLC · 24 years registered

Brand Profile

Not yet started

Career History

COMPASS WEALTH MANAGEMENT LLC

Jun 2002 – present

WESTPORT RESOURCES MANAGEMENT INC

Mar 2009 – Dec 2016

WESTPORT, CT

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 63

Series 65

Registration record

First registered · June 24, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

COMPASS WEALTH MANAGEMENT LLC

CRD 106289 · SEC 801-53805

AUM

$542M

Regulatory assets under management

Employees

838 client accounts

Services offered by COMPASS WEALTH MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at COMPASS WEALTH MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does William Lee Matthes offer?

William Lee Matthes specializes in Financial Planning, Investment Management. Contact their office in GUILFORD, Connecticut for a consultation.

What are William Lee Matthes's credentials?

William Lee Matthes is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is William Lee Matthes located?

William Lee Matthes is based in GUILFORD, Connecticut, working with COMPASS ASSET MANAGEMENT LLC. Their office serves clients in the GUILFORD metropolitan area and surrounding communities.

How does William Lee Matthes charge for services?

William Lee Matthes's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is COMPASS ASSET MANAGEMENT LLC?

COMPASS ASSET MANAGEMENT LLC has approximately 5 employees and manages $542M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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