SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Compound Planning, Inc.
New York, NY
CRD 171787
Firm filing updated July 6, 2026 ·
- $4.8BAssets
- 13,653Clients
- 76Advisory staff
- 8,708Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- OtherYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- Individuals10,868
- High net worth individuals612
- Pension and profit sharing plans354
- Corporations or other businesses147
- Charities129
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 10,868 | $1.5 billion |
| High net worth individuals | 612 | $1.5 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 354 | $128.9 million |
| Charitable organizations | 129 | $13.8 million |
| Corporations or other businesses not listed above | 147 | $110.7 million |
| Other: "TRUSTS & ESTATES, FAMILY OFFICES, FOUNDATIONS & ENDOWMENTS" | 1,543 | $1.6 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 6 services
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$4.8 billion
- Accounts8,708
- DiscretionaryAll accounts
People
- Employees119
- Advisory staff76
- Broker-dealer reps1
- Licensed insurance agents13
- Planning clients11 to 25
Advisors
48 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 171787, SEC file 801-126007.
- Registered with the SEC as an investment advisor (status date on record: July 1, 2022).
Is Compound Planning, Inc. a fiduciary?
Short answer: Compound Planning, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 1 staff member is a broker-dealer representative. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
13 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.