AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CM

Clifford L. Malings

COMPASS FINANCIAL ADVISORS
CHESTERTON, IN 46304
Some features on this profile are disabled
CRD#: 5044575
CM

Professional summary

Clifford Lee Malings, who also goes by Clifford L. Malings, Clifford Malings, is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS LLC located in Chesterton, Indiana.

Clifford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Clifford has worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Clifford L. Malings | Clifford Malings

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Lee Malings'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

December 14, 2005 - Present

COMPASS FINANCIAL ADVISORS LLC

Office #1: 160 Rail Road, Suite 2, Chesterton, IN 46304
RIA
CRD#: 109131
CHESTERTON, IN
Past

October 16, 2007 - May 27, 2011

FINTEGRA, LLC

BD
CRD#: 16741
VALPARAISO, IN
Past

January 31, 2006 - October 16, 2007

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
VALPARAISO, IN

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".
CF
COMPASS FINANCIAL ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS

CRD#: 109131 / SEC#: 801-56002

RIA
Registered Investment Advisory firm - (11/30/1998 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
Indiana
(12/14/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 11/30/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/25/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/30/2006
General Securities Representative Examination

Current Firm

CF
COMPASS FINANCIAL ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS

CRD#: 109131 / SEC#: 801-56002

RIA
Registered Investment Advisory firm - (11/30/1998 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825
Mailing Address
Phone number
(260) 490-7878
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL PART 2A BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts750
AUM (Assets Under Management)$ 264,674,639

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.

Company Information

COMPASS FINANCIAL ADVISORS LLC

CRD#: 109131Chesterton, IN 46304

TRUST BUT VERIFY

Monitor Clifford Malings

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Andrew James Lehman
Andrew LehmanAdvisorCheck Check Mark
INSPIRE ADVISORS, LLC
IAR
Dublin, OH
PM
Pia MatthesAdvisorCheck Check Mark
PJT PARTNERS LP
RR
New York, NY
Todd Anthony Hukill
Todd HukillAdvisorCheck Check Mark
LEGACY PATH ADVISORS LLC
IAR
Gallatin, TN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.