COMPASS ROSE ASSET MANAGEMENT

RIASEC RegisteredEst. 2018
Total AUM
$16.5B
Discretionary
$16.5B
100% of AUM
Avg account
$4.1B
Accounts
4
Employees
37
Advisory reps
8

Firm details

Headquarters
New York, New York
CRD number
297010
Registered since
June 8, 2018
Website
www.compassroseam.com
Custodians
GOLDMAN SACHS & CO. LLC, J.P. MORGAN SECURITIES INC., BARCLAYS BANK PLC, SCOTIA BANK, CARTA CAPITAL MARKETS, LLC, MORGAN STANLEY & CO. LLC, BANK OF AMERICA, ROYAL BANK OF CANADA, CITI PRIVATE BANK, BNP PARIBAS SECURITIES CORP., DEUTSCHE BANK SECURITIES INC.
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • Pooled Investment Vehicles83.28%
  • Other16.72%
Services
Portfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Compass Rose Asset Management operates as a limited partnership and is organized as a hedge fund adviser that primarily serves institutional clients. Registered with the SEC since 2018, the firm provides portfolio management for pooled investment vehicles and commonly serves as sponsor, general partner, or managing member of those vehicles. Its compensation model combines a percentage-of-assets charge with performance-based fees. Compass Rose does not position itself as an ESG investor and is not identified as a multi-state adviser or pension consultant.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Cash & Cash Equivalents 32%, Investment Grade Corp Bonds 20%, US Government Bonds 19%, Non-Investment Grade Corp Bonds 12%, Sovereign Bonds 10%, Non-Exchange Traded Equities 4%, Exchange Traded Equities 2%, Derivatives 1%32%
  • Cash & Cash Equivalents32%
  • Investment Grade Corp Bonds20%
  • US Government Bonds19%
  • Non-Investment Grade Corp Bonds12%
  • Sovereign Bonds10%

Owners & executives

3 of 6

  • BRIAN RIANO

    Chief Executive OfficerCRD 1903441

  • TODD DUFFY

    Chief Compliance Office, ControllerCRD 2484747

  • JASON ROCHE

    Partner and Co-CIOCRD 7003590

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Contacts

2 of 2

  • DANIEL WEINER

    General Counsel & CCOCRD 7856634

  • CAMERON LEWIS

    Portfolio ManagerCRD 5373308

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 1

Active vs passive

$35M in ETFs

Passive

100%

$35M

Active

0%

$0

ETFProviderStyleCategoryValueShares% of portfolio
KRANESHARES CSI CHINA INTERNET ETF (KWEB)KraneSharesPassiveChina Region$35M1,230,000100.00%

Location

Primary office

New York, NY

NEW YORK

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NEW YORK
Address
124 E 14th St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth