Compound Planning, Inc.

Registered investment adviser · New York, NY · CRD #171787

Form ADV data as of 2026-09-01

Regulatory assets

$4.85 billion

Total accounts

8,708

Employees

119

Disclosure events

Firm details

Website: https://compoundplanning.com
Telephone: 888-533-9364
SEC file number: 801-126007
Most recent Form ADV filing: 2026-07-06
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$4.85 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$4.85 billion
Discretionary accounts	8,708
Non-discretionary accounts	0
Total accounts	8,708
Regulatory assets under management attributable to non-U.S. persons	$946,622

People

Total employees (excluding clerical)	119
Employees performing investment advisory functions (including research)	76
Employees who are registered representatives of a broker-dealer	1
Employees registered as investment adviser representatives with a state	76
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	13
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$1.33 billion
Clients for whom the firm has custody	1,145
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	15

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Other

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops

Affiliated related persons

Other investment adviser (including financial planners)Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	10,868	$1.48 billion
High net worth individuals	612	$1.53 billion
Pension and profit sharing plans (not the participants or government plans)	354	$128.9 million
Charitable organizations	129	$13.8 million
Corporations or other businesses not listed above	147	$110.7 million
Other	1,543	$1.59 billion