Wealth manager, independent · New York, NY
Compound Planning, Inc.
SEC-registered investment adviser · CRD 171787 · SEC 801-126007
At a glance
Compound Planning, Inc. is an SEC-registered investment adviser based in New York, New York, with $4.8B in regulatory assets under management as of its Form ADV filed July 6, 2026. It reports 11,480 individual clients, 612 of them high-net-worth, holding an average of about $0.3 million each, and 119 employees. That ranks it 232nd among the nation’s 5,657 independent wealth management RIAs and 24th of 408 in New York. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 888-533-9364compoundplanning.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $4.8B
- Rank among independent wealth managers
- #232 of 5,657
- Rank among all SEC RIAs
- #2,149 of 17,210
- Rank in New York
- #24 of 408
- Individual clients
- 11,480
- High-net-worth clients
- 612
- Accounts
- 8,708
- Discretionary
- 100% of AUM
- Employees
- 119
- Advisory staff
- 76
- Offices
- 26
Owners and executives on its Form ADV
- Christian G. HaighDirector
- Alexander M. Farman-FarmaianChief Executive Officer / Director
- Joseph T. SilvaHead of Finance
- Brent MyersHead of Operations
- Gabriel M. KrambsDirector
- Akinbowale O. AdekeyeGeneral Counsel / Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Compound Planning, Inc. is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other | 1,543 | $1.6B | 33% |
| High-net-worth individuals | 612 | $1.5B | 31% |
| Individuals | 10,868 | $1.5B | 31% |
| Pension and profit sharing plans | 354 | $129M | 3% |
| Corporations or other businesses | 147 | $111M | 2% |
| Charitable organizations | 129 | $14M | <1% |
Disciplinary disclosures
Compound Planning, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗compoundplanning.com ↗
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Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| J. Safra Asset Management CorporationNew York City | $6.3B | 3,374 |
| Klingman and Associates, LLCNew York | $5.7B | 704 |
| SavvyNew York | $5.0B | 4,552 |
| Klingenstein Fields AdvisorsNew York | $4.7B | 1,237 |
| Seven Bridges Advisors LLCNew York | $4.6B | 128 |
| Courier Capital, LLCBuffalo | $3.6B | 2,094 |
Background
Questions
How much does Compound Planning, Inc. manage?
Compound Planning, Inc. reports $4.8B in regulatory assets under management across 8,708 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 6, 2026.
How many clients does Compound Planning, Inc. have?
It reports 11,480 individual clients: 612 high-net-worth individuals and 10,868 other individuals. Individuals account for about 62% of its regulatory assets.
Where is Compound Planning, Inc. headquartered?
Its main office is in New York, New York. It reports 26 offices in total and 119 employees, 76 of whom perform investment advisory functions.
How does Compound Planning, Inc. charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Compound Planning, Inc. use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed July 6, 2026, it reports these amounts held: Charles Schwab ($2.9B); Fidelity ($1.7B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Compound Planning, Inc. a hybrid RIA with a broker-dealer?
Compound Planning, Inc. is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Compound Planning, Inc. a fiduciary?
As an SEC-registered investment adviser, Compound Planning, Inc. owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 1 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Compound Planning, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-06), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →