Compass Capital Corporation

Compass Capital Corporation was founded in 1984 by Timothy F. Shanahan. There is one primary office of the firm and affiliates maintain separate offices in various locations in the Greater Boston area. Compass has 24 investment professionals and 3 support staff. As of December 30, the firm had in excess of 400 clients and was actively managing in excess of $113 million of total assets.

Basic Philosophy

Compass embraces the total financial planning approach in working with its clients. Time is taken to assess each client's needs, goals, time horizon and appetite for risk. We believe that integrating these factors support our clients' goals for a successful investing experience.

Compass, as Your Trusted Financial Advisor, seeks to deliver a consistently favorable long-term investor experience through uniquely constructed asset allocation portfolios designed to help you achieve your goals. Studies have confirmed our belief that the overwhelming determinant of success in an investment strategy is not which specific securities or funds were included but how the assets were divided among the asset classes.

Once our analysts have examined economic and capital market conditions, allocation commitments are made to specific asset categories (i.e. cash, bonds, foreign and domestic stocks, and non-correlated assets). We then select individual funds which have demonstrated a consistent ability to outperform their investment objective peers. Compass' investment committee reassesses its allocation and manager commitments at least quarterly and makes changes to the portfolios under its advisement as warranted.

Compass assists you in the formation of intelligent financial and investment decisions. We deliver trusted financial advice to you with our expertise, people, information, and technology.

Compass offers a broad range of financial services and portfolios. Through our strategic business partners and clearing affiliations, we can offer most of the services or producst that national, full line brokerage firms offer.

Your Trusted Financial Advisor^SM

We serve both investment professionals and their clients. Our Investment Advisor Agents are professionally affiliated with us but independently manage their own practices. This structure allows them to enjoy an entrepreneurial business environment which benefits you with a highly personalized level of service.

Areas of Competence and Specialization

Investment Management - using no load and load waived mutual funds and Exchange Traded Funds (ETFs) strategically arranged in an optimized portfolio to match your own time horizon and risk tolerance. See separate brochure about our investment management programs:

Compass Asset Management Program - (CAMP)
Ad Hoc Strategic and General financial consulting - analysis and advice rendered based on your specific needs.

Fee Only, Comprehensive Financial Planning including the basic and principal areas of financial planning:

Investment and portfolio planning.

Retirement planning

Estate planning

Tax planning

Business planning

Insurance and asset protection planning

Prelitigation Consulting and Analysis for investors who may be considering securities arbitration.

Personal Trust Capabilitiesfor investors who may be considering the need to use trusts and trustee services as part of their planning. See our Personal Trust Capabilities page for more information

The Principals of Compass are all salaried and receive no commissions or fees directly.

Portfolio management and asset allocation work is typically compensated by a percentage of assets under management which for most clients is a maximum 1.25% and declines with the size of the account. See our complete fee schedule in Form ADV Part II.

Compass can also be engaged for consulting on an hourly basis, typically at $150 per hour, although some cases may be more or less depending on the scope of the engagement.

Compass Capital Corporation can operate on a flat fee-only basis when engaged to consult on total financial plans. Such fees are quoted depending on the nature and scope of the engagement.

In some cases it is more advantageous for the client to compensate for planning services on a fee-and-commission or commission-only.

Our Management

Our management team is experienced and averages over 30 years in the profession, and is active in the investment and financial planning communities. Our staff is licensed, highly skilled, and averages over 20 years experience in financial services.

Our Mission

Our mission is to be "Your Trusted Financial AdvisorSM" by providing you with the best quality financial and investment advice, delivered through a superior level of service, by the highest calibre of people. We believe in doing things in a quality way, in understanding the investment vehicles that we select through due diligence, and in placing the client's interest first.

Our Clients

Compass serves individual, ERISA, and Fortune 1000 corporate clients throughout the country.

This capabilities brochure is not intended to act as a complete disclosure document. Prospective clients will be provided with SEC Form ADV, Part II (print version) or SEC Form ADV, IAPD Version at no cost, upon request.

1 Batterymarch Park
Quincy, MA 02169
617-657-0323
info@compasssecurities.com