Compound Planning, Inc.
- Regulatory AUM
- $4.8B
- Discretionary
- $4.8B
- Clients
- 13,653
- Avg AUM / client
- $355K
- Accounts
- 8,708
- Employees
- 119
AUM over time
Annual snapshots from Form ADV filings · as of Jul 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10,868 | $1.5B | 30.6% |
| High net worth individuals | 612 | $1.5B | 31.5% |
| Pension and profit sharing plans | 354 | $129M | 2.66% |
| Charitable organizations | 129 | $13.8M | 0.29% |
| Corporations and other businesses | 147 | $111M | 2.28% |
| Other | 1,543 | $1.6B | 32.7% |
People (80)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Smith, Jeffrey, Andrew | Chief Compliance Officer | Mar 2023 (3y) | Less than 5% | |
| Haigh, Christian, Gwilym Benedict | Chief Executive Officer And Owner | Jul 2024 (2y) | 25% – 50% | |
| Hans Christian Winkler | Registered representative | CFP | Sep 2022 (4y) | |
| Cameron Tarr Hackett | Registered representative | Sep 2022 (4y) | ||
| Richard James Gow | Registered representative | Sep 2022 (4y) | ||
| Howard Leon Dingle | Registered representative | Oct 2022 (4y) | ||
| William W Leboeuf | Registered representative | May 2023 (3y) | ||
| Timothy Seamus Hamilton | Registered representative | CFP | May 2023 (3y) | |
| Kiley Connors Maertz | Registered representative | Jun 2023 (3y) | ||
| Kyle Wayne Rudduck | Registered representative | CFP CFA | Jul 2023 (3y) | |
| Gabriel E Garcia | Registered representative | Oct 2023 (3y) | ||
| Marco Gino Miranda | Registered representative | Oct 2023 (3y) | ||
| Tammy Marie Johns | Registered representative | Oct 2023 (3y) | ||
| Nicholas Giovanni Garcia | Registered representative | Oct 2023 (3y) | ||
| Roxana Sanam Maddahi | Registered representative | Dec 2023 (3y) | ||
| Tara G Shulman | Registered representative | Jan 2024 (3y) | ||
| Bradley James Porter | Registered representative | Jan 2024 (3y) | ||
| Nathan Raheel Bengali | Registered representative | Jan 2024 (3y) | ||
| Beau Michael Simon | Registered representative | Jan 2024 (3y) | ||
| Rachel Marie Buffalo | Registered representative | CFP | Jan 2024 (3y) | |
| Tracy Morse Kinder | Registered representative | Jan 2024 (3y) | ||
| Jonathan Zabel Jonson | Registered representative | Feb 2024 (2y) | ||
| Joseph F. Devorak | Registered representative | Mar 2024 (2y) | ||
| Kevin George Mann | Registered representative | CFP | Mar 2024 (2y) | |
| Kristen Grace Smith | Registered representative | CFP | Mar 2024 (2y) | |
| Alan Scott Ward | Registered representative | CFP | Apr 2024 (2y) | |
| Andrew Park | Registered representative | May 2024 (2y) | ||
| David Aaron Pender | Registered representative | May 2024 (2y) | ||
| Ronald Joe Farner | Registered representative | Jun 2024 (2y) | ||
| Shannon Lynch | Registered representative | CFP | Jun 2024 (2y) | |
| Jared W Mejstrik | Registered representative | Aug 2024 (2y) | ||
| Scott Douglas Hedgcock | Registered representative | CFP | Sep 2024 (2y) | |
| Todd Grund Rowe | Registered representative | CFP | Sep 2024 (2y) | |
| Mark Patzer | Registered representative | Sep 2024 (2y) | ||
| Dimitry Farberov | Registered representative | CFP CFA | Nov 2024 (2y) | |
| John Patrick Mcauliffe | Registered representative | Dec 2024 (2y) | ||
| Matthew James Faubion | Registered representative | CFP | Dec 2024 (2y) | |
| Aaron Clark Foster | Registered representative | CFP | Jan 2025 (2y) | |
| David Lowell Hubble | Registered representative | Jan 2025 (2y) | ||
| Michael John Oconnor | Registered representative | Jan 2025 (2y) | ||
| Reed Aaron Nothwang | Registered representative | CFP | Jan 2025 (2y) | |
| William Dennis Burns | Registered representative | Jan 2025 (2y) | ||
| Willem Raleigh Bloemsma | Registered representative | Jan 2025 (2y) | ||
| Wiley Cyrus Belknap | Registered representative | Jan 2025 (2y) | ||
| Boyan Ognianov Doytchinov | Registered representative | CFP CFA | Feb 2025 (1y) | |
| Patrick Vincent Scherer | Registered representative | CFP Chartered Financial Consultant | Feb 2025 (1y) | |
| Aaron Matthew Schomer | Registered representative | CFP | Feb 2025 (1y) | |
| Joleen Ann Scheer | Registered representative | CFP | Feb 2025 (1y) | |
| Kevin Gregory Lors | Registered representative | CFP | Feb 2025 (1y) | |
| Lindsey Thorsen Oneil | Registered representative | CFP | Feb 2025 (1y) | |
| Alexander Dean Ricke | Registered representative | CFP | Mar 2025 (1y) | |
| Alexander Scott James Snyder | Registered representative | CFP | Mar 2025 (1y) | |
| Amanda Joy Kelderman | Registered representative | Mar 2025 (1y) | ||
| Cindy L Judas | Registered representative | Mar 2025 (1y) | ||
| Isaac Frederick Franks | Registered representative | CFP | Mar 2025 (1y) | |
| Tyler John Coder | Registered representative | CFP Personal Financial Specialist | Mar 2025 (1y) | |
| Hali Browne London | Registered representative | CFP | Apr 2025 (1y) | |
| Trey Michael Fernandez | Registered representative | Apr 2025 (1y) | ||
| Brandon Mitchell Wyand | Registered representative | CFP | Apr 2025 (1y) | |
| Elinoa Shifra Witkin | Registered representative | May 2025 (1y) | ||
| Charlotte Marie Jones | Registered representative | Jun 2025 (1y) | ||
| Kaitlin Christine Jones | Registered representative | CFP | Jun 2025 (1y) | |
| Mark Alexander Mooring | Registered representative | CFP | Jun 2025 (1y) | |
| Jannifer Lyn Shull | Registered representative | Jun 2025 (1y) | ||
| James Michael Taylor | Registered representative | CFP | Jun 2025 (1y) | |
| Cole T Schmitt | Registered representative | Jul 2025 (1y) | ||
| Scott Luther Weigel | Registered representative | CFP | Jul 2025 (1y) | |
| Tony R Golden | Registered representative | Aug 2025 (1y) | ||
| Wendy A Jankoski | Registered representative | Sep 2025 (1y) | ||
| Ian James Wymore | Registered representative | CFP | Sep 2025 (1y) | |
| Timothy Robert Couture | Registered representative | CFP | Oct 2025 (1y) | |
| Stephen Odell Dean | Registered representative | CFA | Nov 2025 (1y) | |
| Norman Ellsworth Mains | Registered representative | Nov 2025 (1y) | ||
| Marcel Dominik Pfister | Registered representative | Jan 2026 (1y) | ||
| Scott Manning Porter | Registered representative | CFP | Jan 2026 (1y) | |
| Jesse Thomas Porter | Registered representative | CFP | Jan 2026 (1y) | |
| Adam Benjamin Coleman | Registered representative | CFP | Feb 2026 (0y) | |
| Jack Patrick Mc Caddon | Registered representative | Feb 2026 (0y) | ||
| Dylan Clark | Registered representative | May 2026 (0y) | ||
| Matthew Gwizdz | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Alternativ, Inc. | Managing Member | Jun 2022 | A | 75% or more |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/06/2026 | 1.22 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: COMPOUND AND ITS RECRUITS CONSPIRED TO MISAPPROPRIATE TRADE SECRETS, PROTECTED CLIENT INFORMATION, AND UTILIZED THE INFORMATION TO SOLICIT THE CLIENTS TO JOIN THE ADVISORS AT COMPOUND. Status: Pending Summary: COMPOUND HAS BEEN ACTIVELY RECRUITING POTENTIAL LATERAL ADVISOR RECRUIT(S) IN VARIOUS MARKETS AS THE FIRM CONTINUES ITS EXPANSION IN THE FINANCIAL ADVISORY INDUSTRY. COMPOUND'S RECRUITING EFFORTS IDENTIFIED SEVERAL ADVISORS IN COLORADO FROM A COMPETITOR, EMPOWER ADVISORY GROUP, LLC. COMPOUND WAS SUCCESSFUL IN RECRUITING 13 ADVISORS FROM EMPOWER AS A RESULT OF SIGNIFICANT MATERIAL CHANGES AND RELATED DISORDER AT EMPOWER, WHICH THE ADVISOR RECRUITS IDENTIFIED WHEN THEY TRANSITIONED TO EMPOWER AFTER THAT COMPANY PURCHASED AND MERGED OTHER INVESTMENT ADVISOR COMPANIES INTO ITS OPERATIONS. ARISING OUT OF OR RELATED TO COMPOUND'S SUCCESSFUL RECRUITING EFFORTS, EMPOWER ALLEGED IN A COMPLAINT FILED IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLORADO THAT COMPOUND AND ITS RECRUITS CONSPIRED TO MISAPPROPRIATE TRADE SECRETS, PROTECTED CLIENT INFORMATION, AND UTILIZED THE INFORMATION TO SOLICIT THE CLIENTS TO JOIN THE ADVISORS AT COMPOUND. THE ALLEGATIONS ARE COMMON IN THESE EMPLOYMENT DISPUTES, AND COMPOUND CATEGORICALLY DENIES CONSPIRING, UNLAWFULLY REMOVING OR RETAINING ANY TRADE SECRET/CONFIDENTIAL CLIENT INFORMATION OR SOLICITING ANY CLIENTS. COMPOUND INTENDS TO VIGOROUSLY DEFEND THESE ALLEGATIONS OF ANY/ALL WRONGDOING AND INTENDS TO ASSERT COUNTERCLAIMS, AS MAY BE AVAILABLE AND APPROPRIATE, FOR ENGAGING COMPOUND AND/OR ITS ADVISORS IN LITIGATION LACKING A MERITED FOUNDATION."
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • SELECTION OF OTHER ADVISERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $2.9B (60% of AUM) Jul 2026
- Fidelity Brokerage Services $1.7B (36% of AUM) Jul 2026
- Goldman Sachs $75.5M (5% of AUM) Feb 2025
- Equity Trust Company $38.4M (3% of AUM) Feb 2025
- Morningstar $21.7M (2% of AUM) Feb 2025
- Nationwide Trust Company $6.1M (0% of AUM) Feb 2025
- Kingdom Trust Company $4.2M (0% of AUM) Feb 2025
- Nuview Trust Company $1.4M (0% of AUM) Feb 2025
- Security Benefit $26.3K (0% of AUM) Feb 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 06, 2026.
View current Form ADV (SEC/IAPD) ↗