Unclaimed Profile

James Arthur Riggs

COMPASS FINANCIAL ADVISORS LLC·FORT WAYNE, Indiana

SIE, Series 6, Series 6TO, Series 7, Series 24, Series 63, Series 65Clean record29 years registeredCOMPASS FINANCIAL ADVISORS LLC

9933 DUPONT CIRCLE DRIVE WEST, FORT WAYNE, IN 46825CRD# 1024950Firm CRD# 109131

Profile Verification

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

Identity

James Arthur Riggs · FORT WAYNE, IN

Registration

CRD #1024950 · COMPASS FINANCIAL ADVISORS LLC · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: COMPASS FINANCIAL ADVISORS LLC

MOLONEY INVESTMENT ADVISORY LLC

May 2016 – Dec 2016

MANAKIN-SABOT, VA

MOLONEY SECURITIES ASSET MANAGEMENT LLC

Apr 2016 – Dec 2017

MANAKIN-SABOT, VA

MOLONEY SECURITIES CO., INC.

Mar 2014 – Apr 2016

Manakin-Sabot, VA

GORDON ASSET MANAGEMENT, LLC

May 2012 – Mar 2014

DURHAM, NC

MORSE CAPITAL PARTNERS, LLC

Jan 2011 – May 2012

GLEN ALLEN, VA

MORSE CAPITAL PARTNERS, LLC

Jun 2010 – Dec 2010

RICHMOND, VA

RIGGS STEIGERWALD INC.

Aug 1996 – Apr 2009

LEESBURG, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 6TO

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · August 29, 1996

Years registered · 29

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

COMPASS FINANCIAL ADVISORS LLC

CRD 109131 · SEC 801-56002

AUM

$231M

Regulatory assets under management

Employees

730 client accounts

Services offered by COMPASS FINANCIAL ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at COMPASS FINANCIAL ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does James Arthur Riggs offer?

James Arthur Riggs specializes in Financial Planning, Investment Management, Wealth Management.

What are James Arthur Riggs's credentials?

James Arthur Riggs is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Arthur Riggs located?

James Arthur Riggs is based in FORT WAYNE, Indiana, last registered with COMPASS FINANCIAL ADVISORS LLC.

How does James Arthur Riggs charge for services?

James Arthur Riggs's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is COMPASS FINANCIAL ADVISORS LLC?

COMPASS FINANCIAL ADVISORS LLC has approximately 9 employees and manages $231M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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