{
  "crd_number": 171787,
  "slug": "compound-planning-inc-new-york-ny-171787",
  "primary_business_name": "COMPOUND PLANNING, INC.",
  "legal_name": "COMPOUND PLANNING, INC.",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2022-07-01",
  "years_registered": 4,
  "period": "2026-10-01",
  "filing_date": "2026-07-06",
  "carried_forward": false,
  "raum_total": 4848634144.0,
  "raum_discretionary": 4848634144.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 119,
  "advisory_employees": 76,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 1586070832.0,
      "count": 1543,
      "description": "TRUSTS & ESTATES, FAMILY OFFICES, FOUNDATIONS & ENDOWMENTS"
    },
    "charitable": {
      "raum": 13841615.0,
      "count": 129
    },
    "individuals": {
      "raum": 1482191970.0,
      "count": 10868
    },
    "pension_profit_sharing": {
      "raum": 128890639.0,
      "count": 354
    },
    "high_net_worth_individuals": {
      "raum": 1526930037.0,
      "count": 612
    },
    "corporations_other_businesses": {
      "raum": 110709051.0,
      "count": 147
    }
  },
  "compensation_types": [
    "fixed",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://atomifinancial.com",
    "https://bennettandporter.com",
    "https://compoundhq.com",
    "https://compoundplanning.com",
    "https://financialpuzzlehelp.com",
    "https://hackettadvisory.com",
    "https://hawkeswealth.com",
    "https://hawkeswealthmanagement.net",
    "https://instagram.com/withcompound",
    "https://lifeplan2retire.com",
    "https://linkedin.com/company/compound-financial",
    "https://maddahiwealth.com",
    "https://winklerwealth.com",
    "https://withcompound.com",
    "https://x.com/compound",
    "https://youtube.com/@compoundwealthmanagement"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171787",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/compound-planning-inc-new-york-ny-171787",
  "display_name": "Compound Planning, Inc.",
  "summary": "Compound Planning, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2022, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 6, 2026.",
  "citation": "AdvisorCensus. Compound Planning, Inc. (CRD 171787): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "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 advisers (including private fund managers)",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Compound Planning, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Compound Planning, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other."
    },
    {
      "q": "How much does Compound Planning, Inc. charge?",
      "a": "Its Form ADV Part 2A brochure dated July 6, 2026 states: Hourly rate: $100 to $500 an hour. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Compound Planning, Inc. located?",
      "a": "Compound Planning, Inc.'s principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Compound Planning, Inc. registered with the SEC or a state?",
      "a": "Compound Planning, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 171787."
    },
    {
      "q": "How much does Compound Planning, Inc. manage?",
      "a": "Compound Planning, Inc. reports $4,848,634,144 in regulatory assets under management in its Form ADV filing dated July 6, 2026 (100% discretionary)."
    },
    {
      "q": "How have Compound Planning, Inc.'s assets and staff changed since 2022?",
      "a": "In the Form ADV data for Compound Planning, Inc.: Regulatory assets under management: $172,342,703 in the October 2022 data and $4,848,634,144 in the October 2026 data, up 2713%. Total employees: 12 in October 2022 and 119 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Compound Planning, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (10,868); other (1,543); high net worth individuals (612)."
    },
    {
      "q": "Which custodians does Compound Planning, Inc. use?",
      "a": "Compound Planning, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Compound Planning, Inc. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/171787"
    },
    {
      "q": "What changed in Compound Planning, Inc.'s recent Form ADV filings?",
      "a": "In the August 2026 filing data: Item 11 disclosure answers changed: 3 yes answers, previously 4 (now no: 11.H(2)). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 172342703.0,
      "total_employees": 12,
      "filing_date": "2022-09-06"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 429817431.0,
      "total_employees": 38,
      "filing_date": "2023-09-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1395949263.0,
      "total_employees": 70,
      "filing_date": "2024-08-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 3025356111.0,
      "total_employees": 104,
      "filing_date": "2025-04-21"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 4848634144.0,
      "total_employees": 119,
      "filing_date": "2026-07-06"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Item 11 disclosure answers changed: 3 yes answers, previously 4 (now no: 11.H(2)).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 48 to 76.",
        "Regulatory assets under management went from $3,025,356,111 to $4,848,634,144 (+60%).",
        "No longer lists an office in Bothell, WA.",
        "No longer lists an office in Des Moines, IA.",
        "Registered or notice-filed in DC, WI.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated July 6, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $100 to $500 an hour"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $100 to $500 an hour"
        ],
        "quotes": [
          "Hourly Rate: $100 – $500 per hour."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 100.0,
          "max": 500.0,
          "period": "hour",
          "service": "Hourly Rate"
        }
      ]
    },
    "quotes": [
      "Hourly Rate: $100 – $500 per hour."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/compound-planning-inc-new-york-ny-171787.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 10868,
      "fewer_than_5": false,
      "raum": 1482191970.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 612,
      "fewer_than_5": false,
      "raum": 1526930037.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 354,
      "fewer_than_5": false,
      "raum": 128890639.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 129,
      "fewer_than_5": false,
      "raum": 13841615.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 147,
      "fewer_than_5": false,
      "raum": 110709051.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 1543,
      "fewer_than_5": false,
      "raum": 1586070832.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171787",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}