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COMPOUND PLANNING, INC.
CRD 171787File 801-126007
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.85B
Top 25% of cohort (national)
Discretionary AUM
$4.85B
Clients
12,110
8,708 accounts
Employees
119
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jul 1, 2022
- Principal office
- 115 BROADWAY, 5TH FLOOR, NEW YORK, NY, 10006
- Phone
- 888-533-9364
- Website
- https://www.compoundhq.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.85B
- Discretionary AUM
- $4.85B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 8,708
- Non-discretionary accounts
- 0
- Total accounts
- 8,708
- AUM per client
- $400K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 147 | $110.7M |
| Charitable organizations | 129 | $13.8M |
| High net worth individuals | 612 | $1.53B |
| Pension and profit sharing plans | 354 | $128.9M |
| Individuals (other than high net worth individuals) | 10,868 | $1.48B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Other (described) — SELECTION OF OTHER ADVISERS
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D2
- Q11D5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 13,653 | 12,110 | decreased by1,543 |
| Apr 1, 2026 | Employees | 104 | 119 | increased by15 |
| Apr 1, 2026 | Clients | 2,352 | 13,653 | increased by11,301 |
| Apr 1, 2026 | AUM | $3,025,356,111 | $4,848,634,144 | increased by$1,823,278,033 |
| Apr 1, 2026 | Accounts | 6,372 | 8,708 | increased by2,336 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12 | 104 | increased by92 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 165 | 2,352 | increased by2,187 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $172,342,703 | $3,025,356,111 | increased by$2,853,013,408 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 636 | 6,372 | increased by5,736 |
| Sep 1, 2022 | Employees | 6 | 12 | increased by6 |
| Sep 1, 2022 | Clients | 365 | 165 | decreased by200 |
| Sep 1, 2022 | AUM | $100,819,913 | $172,342,703 | increased by$71,522,790 |
| Sep 1, 2022 | Accounts | 355 | 636 | increased by281 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “COMPOUND PLANNING” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“COMPOUND PLANNING” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.