William L. Matthes

COMPASS WEALTH MANAGEMENT LLC

GUILFORD, CT 06437

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CRD#: 1127116

Professional summary

William Lee Matthes, who also goes by Bill Matthes, is a registered financial advisor currently at COMPASS WEALTH MANAGEMENT LLC located in Guilford, Connecticut.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Matthes

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

COMPASS ASSET MANAGEMENT - REGISTERED INVESTMENT ADVISORS, 10 WATER STREET, GUILFORD, CT. SINCE 2/97, INVESTMENT RELATED. TRANCATIONS THROUGH WRIS INTERFACE. 95% OF TIME. RECEIVE ADVISORY FEES FROM WESTPORT RESOURCES MANAGEMENT, AN RIA AFFILIATED WITH WRIS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lee Matthes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 24, 2002 - Present

COMPASS WEALTH MANAGEMENT LLC

Office #1: 10 Water St,, Guilford, CT 06437

RIA

CRD#: 106289

GUILFORD, CT

Past

March 24, 2009 - December 24, 2016

WESTPORT RESOURCES MANAGEMENT INC

RIA

CRD#: 105306

WESTPORT, CT

Past

February 25, 1997 - September 2, 2016

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

GUILFORD, CT

Past

September 10, 1992 - March 14, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 25, 1983 - September 18, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMPASS WEALTH MANAGEMENT LLC

COMPASS ASSET MANAGEMENT LLC | MATTHES WILLIAM LEE | COMPASS WEALTH MANAGEMENT LLC | COMPASS ASSET MANAGEMENT, LLC

CRD#: 106289 / SEC#: 801-53805

RIA

Registered Investment Advisory firm - (2/14/1997 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/24/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/4/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/2/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

COMPASS WEALTH MANAGEMENT LLC

COMPASS ASSET MANAGEMENT LLC | MATTHES WILLIAM LEE | COMPASS WEALTH MANAGEMENT LLC | COMPASS ASSET MANAGEMENT, LLC

CRD#: 106289 / SEC#: 801-53805

RIA

Registered Investment Advisory firm - (2/14/1997 Approved)

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Contact information

Main Address

10 Water Street, Guilford, CT 06437

Mailing Address

Phone number

(203) 453-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS ADV2A 032021 (10/8/2025)

COMPASS ADV2A APPENDIX 1 032021 (10/8/2025)

Regulatory assets under management

Total Number of Accounts	895
AUM (Assets Under Management)	$ 609,543,910

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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IAR

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Firm Stability Insights

William L. Matthes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lee Matthes's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTPORT RESOURCES MANAGEMENT INC

SMH CAPITAL INVESTMENTS LLC

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COMPASS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/1994

Series 63

Date: 6/1/1983

SIE

Date: 9/2/2016

Series 3

Date: 9/4/1987

Series 7

Date: 5/21/1983

Series 8

Date: 8/2/1988

Current Firm

COMPASS WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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