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1Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPCSecurities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPCCompass Financial Partners, LLC 9121 Anson Way, Suite 200 Raleigh, NC 27615 919.645.9935 |888.613.3310
Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Charlotte | Greensboro | Raleigh | Winston-Salem
Overview of Services
2Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Accredited Investment Fiduciary (AIF)
Accredited Investment Fiduciary Analyst (AIFA)
Accredited Retirement Plan Consultant (ARPC)
Certified Behavioral Finance Analyst (CBFA)
Certified Employee Benefit Specialist (CEBS)
Certified Financial Planner (CFP)
Certified Plan Fiduciary Advisor (CPFA)
Certified Public Accountant (CPA)
Chartered Financial Analyst (CFA)
Chartered Mutual Fund Counselor (CMFC)
Chartered Retirement Planning Counselor (CRPC)
Chartered Retirement Plans Specialist (CRPS)
Global Financial Steward (GFS)
Qualified Plan Financial Consultant (QPFC)
Navigating a turbulent retirement plan landscape can be a challenge. Compass Financial Partners is a guide, helping to keep our clients on the path to fiduciary compliance, and helping their employees retire with dignity. Our objective is to anticipate our client’s needs, to surprise them with our attention to detail and our attention to them, and ultimately to help them define their goals, pursue their goals, and help their participants live the life they dream of living.
A nationally recognized leader, Compass Financial Partners provides independent, objective retirement plan consulting and investment advisory services to plan sponsors across the US. From investment due diligence and vendor relationship oversight to employee communication strategy and plan design assistance, our process-driven suite of fiduciary services helps employers deliver dynamic retirement programs.
Our highly credentialed and professional team members hold the following designations:
Who We Are
3Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Members of the Compass Financial Partners team serve on the following National Councils:
Prudential Advisor Council Fidelity Advisory Council JP Morgan Advisory Council MassMutual Advisory Council
Retirement Advisor Council Goldman Sachs Advisory Council Principal Retirement Plan Advisory Council Transamerica RIAAdvisory Board
Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
PLANADVISER 2016 Retirement Plan Adviser Team of the Year Finalist; 2016, 2015, 2014, & 2013 Top 100 Retirement Plan Advisor
2016 NAPA Top 50 Advisors Under 40 Years Old
2015 Employee Benefit Adviser Retirement Adviser of the Year Winner
2015, 2014, 2013 Pension & Investments Top Consultant
2015 Barron’s Top 30 Institutional Consultant
2015 Financial Times Top Financial Adviser
2014 NAPA 401(k) Advisory Leadership Award Winner
Industry Awards & National Recognition
4Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Kathleen Kelly, AIFA®, CRPS®Managing Partner
George Hoyle, AIF®, CRPS®Managing Partner
Chas Mansfield, CFA®, MBAChief Investment Officer
Lori Stevenson, AIFA®, CRPS®, QPFC®Chief Compliance Officer
Jake Connors, AIF®, CPFA®Director, Institutional Consulting
Jessica HatleyManager, Client Relations
Andrew Bray, CFA®, CFP®Director, Investment Consulting
Our Team
Jeremy Borders, CMFC®Director, Relationship Management
Jessica CurryManager, Retirement Operations
David Raus, MBAAssociate Director, Institutional Marketing
Cindy Patterson, CEBS®, PMP®Director, Financial Wellness
Zach HullInstitutional Consultant
Eric Vetack, CPA®, AIF®Institutional Consultant
Stephen SwingleManager, Financial Wellness
5Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Our Affiliation
LPL Retirement Partners Facts and Figures1
6Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Representative clients were selected to illustrate the broad diversity of the firm’s client base by type, size, and/or industry. This list should not be construed as an endorsement, reference, or comment from representative clients regarding the quality of investment service Compass Financial Partners, LLC provides.
Our Clients
7Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
OUR P ROCESS Investment Due Diligence - Fueled by a proprietary Scorecard® System Fee Benchmark & RFP Project Management - Formalized process of evaluating fees and services Fiduciary Fitness Program - Independent compliance tool to assist with fiduciary governance Fiduciary Lockbox - Online document portal housing meeting summaries & compliance documents
OUR PASSION Exceptional Client Service - Proactive, insightful service designed to exceed our client’s expectations Participant Engagement - A successful track record helping participants prepare for retirement Industry Leadership - A team comprised of proven, nationally recognized thought-leaders
EXTRAORDINARY Client retention of >97% over the past 5 years reflects our record of keeping promises and delivering
service beyond expectation.
Our fundamental belief in providing retirement plan consulting is guided by developing a process for everything we do ~ and executing it with passion in order to yield an extraordinary experience:
Our Value Proposition
8Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
We then meet with the managers, to more formally evaluate their team and process.
During the past 18 months, Compass has conducted personal due diligence meetings with more than 200 portfolio managers for funds to which our clients currently have exposure or that are being considered for addition.
Compass Investment Edge
Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
• Absolute Risk/Return• Absolute Information Ratio• Upside/Downside Capture• Style Analysis• Rolling Style Analysis• R-Squared Statistic• Relative Returns• Relative Information Ratio• Manager Tenure• Expenses• Resources• Statistics Strength
20%
Qualitative Factors
20%
Peer Group Rankings
30%
Style Factors
30%
Risk & Return Factors
Quantitative Screens
Qualitative Assessment
We first filter the fund universe using several data based measures, including risk adjusted performance, market capture, peer relative performance, style purity, expenses and manager tenure to identify quality options.
9Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Our independent Fiduciary Benchmark through Fiduciary Benchmarks, Inc. helps illustrate a prudent process of evaluating fees and services and provides documentation for your fiduciary audit file. Our independent benchmark report will be provided annually.
For clients whose situation warrants a change, we’ll drive the RFP process for a new provider, including questionnaire construction, response aggregation, presentation coordination, and selection / transition management.
Fiduciary Benchmark & RFP Process Management
10Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Three KeyDeliverables:
Fiduciary ReportCard
Demonstrates what plansponsors and fiduciaries
need to address and documents plan
management responsibilities
Fiduciary PlanReview
Educates fiduciaries regarding their responsibilities,
examines plan design, and documents prudent
processes
ClientReference Guide
Graphs, charts and checklists provide easy to understand technical
guidance for the completion of action
items contained on the Report Card
Through our relationship with RPAG, our Fiduciary Fitness Program is an independent compliance tool designed to measure the health of a retirement plan, and ability of the plan’s fiduciaries to operate in accordance with ERISA and the plan document. Our program provides resources as a means to identify potential weaknesses in your plan and remedy through education, diligence and process.
Fiduciary Fitness Program
11Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
All plan related documentation (plan review & investment due diligence materials, plan & fiduciary documents, employee meeting summaries, etc.) will be securely stored in Compass’ fiduciary lockbox.
Retirement Plan Committee members will be given unique, 24/7 access to our virtual filing system through www.CompassFP.com.
Fiduciary Lockbox
12Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Compass Financial Partners delivers proactive consulting services that are comprehensive, compelling and technically proficient. As a result, participants are better informed about asset allocation and risk tolerance, and most importantly, better prepared for retirement.
Components of our communication programs and deliverables include:
Market Commentary E-Newsletter
Employee Financial Wellness Program
Group Financial Wellness Presentations
Individual 1:1 Meetings
Compass Retirement Road Map
PlanSuccess Behavioral Audit Tool
Participant Engagement
13Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
Our fundamental belief in providing retirement consulting is guided
by developing a fiduciary process for everything we do, and
executing it with passion in order to yield extraordinary results.
Compass Financial Partners
Jake Connors, AIF®, CPFA®Director, Institutional Consulting
Compass Financial Partners, LLCphone: 919.645.9935mobile: 919.302.8872
14Securities andAdvisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
2016 PLANADVISER Retirement Plan Adviser Team of the Year Finalists are nominated by industry professionals and selected based on quantitative evaluation of service levels and feedback from plan sponsor clients. Advisors who have attained the PLANSPONSOR Retirement Professional Designation receive an automatic nomination.
2013-2016 PLANADVISER Top 100 Retirement Plan Advisor teams selected based solely on quantitative factors, including plan assets and number of plans, as reported directly by nominees.
2016 NAPA Top 50 Advisors Under 40 years old – Jake Connors and Zach Hull were nominated and voted on by industry peers and selected by a NAPA member committee based on business profile and future industry leadership potential.
2015 Employee Benefit Adviser Retirement Advisor of the Year winner - Nominated by Employee Benefit Adviser readers and selected by editorial staff based on advisor qualifications and contributions to retirement plan industry.
2013-2015 Pension & Investments Top Consultant: P&I consultant survey focuses on firms providing investment management consulting services. The assets under advisement are tracked for total clients worldwide, institutional clients and U.S. institutional, tax-exempt clients, as of June 30. Retainer and non-retainer clients may be counted in the AUA.
2015 Barron's Top 30 Institutional Consultants are evaluated based on institutional investment assets overseen and revenue generated, number of clients, number of team members and their regulatory records, advanced professional designations and accomplishments.
2015 Financial Times Top Financial Advisor is awarded to financial advisors managing at least $25 million in defined contribution (DC) plan assets where DC plans represent at least 20% of total AUM. Graded on several criteria, including growth in DC plans and assets, plan participation rates, experience and industry certifications, and compliance record.
2014 NAPA 401(k) Advisory Leadership Award winner nominated and voted on by industry peers and selected by a NAPA panel of judges based on information about their practice, experience and accomplishments as provided by nominees.
Disclosures
