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RIA / WealthAdvisorCertified Financial Planner11 years in industry

RACHEL MARIE BUFFALO

Advisor at COMPOUND PLANNING, INC.

Orlando, FL | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9c48e683-1abc-cda4-d54c-843eaf709664

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 7, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: COMPOUND PLANNING, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 2, 2015
First registration: Dec 7, 2015
Dual registered: no
IAPD individual key: 6549246

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
COMPOUND PLANNING, INC.	Independent wealth	Jan 30, 2024	n/a	yes	Orlando, FL\|NEW YORK, NY	Current employment
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Apr 3, 2023	Jan 30, 2024	no	GREENWOOD VILLAGE, CO	Previous registration
PERSONAL CAPITAL ADVISORS CORPORATION	Former SEC adviser	Sep 18, 2019	Apr 3, 2023	no	DENVER, CO\|GREENWOOD VILLAGE, CO\|Orlando, FL	Previous registration
MORGAN STANLEY	Wirehouse	Dec 7, 2015	Sep 5, 2019	no	Winter Park, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EMPOWER ADVISORY GROUP, LLC	COMPOUND PLANNING, INC.	Jan 30, 2024	Jan 30, 2024	0	Firm change	Ibd to RIA
PERSONAL CAPITAL ADVISORS CORPORATION	EMPOWER ADVISORY GROUP, LLC	Apr 3, 2023	Apr 3, 2023	0	Bulk transfer	RIA to ibd
MORGAN STANLEY	PERSONAL CAPITAL ADVISORS CORPORATION	Sep 5, 2019	Sep 18, 2019	13	Firm change	Wirehouse to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
112058:171787:CO:2024-01-30	Jan 30, 2024	Jan 30, 2024	GREENWOOD VILLAGE, CO	Firm change

Relationships

Registered with (4)

→ COMPOUND PLANNING, INC.Registered adviserregistration: current employment
Jan 30, 2024 to presentfactForm ADV
→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Apr 3, 2023 to Jan 30, 2024factForm ADV
→ PERSONAL CAPITAL ADVISORS CORPORATIONRegistered adviserregistration: previous registration
Sep 18, 2019 to Apr 3, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Dec 7, 2015 to Sep 5, 2019factForm ADV

Dated events

Occurred
Jan 30, 2024
Advisor changed firm
Rachel Marie Buffalo left Empower Advisory Group, Llc for Compound Planning, Inc. (registered 2024-01-30)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c48e683-1abc-cda4-d54c-843eaf709664
First observed: Dec 7, 2015
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RACHEL MARIE BUFFALO

Advisor at COMPOUND PLANNING, INC.

Orlando, FL | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9c48e683-1abc-cda4-d54c-843eaf709664

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

COMPOUND PLANNING, INC.

Independent wealth

Jan 30, 2024

n/a

yes

Orlando, FL|NEW YORK, NY

Current employment

EMPOWER ADVISORY GROUP, LLC

Bd affiliated wealth

Apr 3, 2023

Jan 30, 2024

GREENWOOD VILLAGE, CO

Previous registration

PERSONAL CAPITAL ADVISORS CORPORATION

Former SEC adviser

Sep 18, 2019

Apr 3, 2023

DENVER, CO|GREENWOOD VILLAGE, CO|Orlando, FL

Previous registration

MORGAN STANLEY

Wirehouse

Dec 7, 2015

Sep 5, 2019

Winter Park, FL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

EMPOWER ADVISORY GROUP, LLC

COMPOUND PLANNING, INC.

Jan 30, 2024

Firm change

Ibd to RIA

PERSONAL CAPITAL ADVISORS CORPORATION

EMPOWER ADVISORY GROUP, LLC

Apr 3, 2023

Bulk transfer

RIA to ibd

MORGAN STANLEY

PERSONAL CAPITAL ADVISORS CORPORATION

Sep 5, 2019

Sep 18, 2019

Firm change

Wirehouse to RIA

Team

Left

Joined

From

Kind

112058:171787:CO:2024-01-30

Jan 30, 2024

GREENWOOD VILLAGE, CO

Firm change