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RIA / WealthAdvisor14 years in industry

NICHOLAS GIOVANNI GARCIA

Advisor at COMPOUND PLANNING, INC.

NEW YORK, NY | San Diego, CA

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Search this name across graphsid dfx:ria:a377fadd-bc71-8a78-d816-7dc0e3d4cf36

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 20, 2012 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 4, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Exams: S63|S66
First exam: Sep 4, 2012
First registration: Nov 20, 2012
Dual registered: no
Other names: Giovanni Garcia
IAPD individual key: 6091282

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	Oct 25, 2023	n/a	yes	NEW YORK, NY\|San Diego, CA	Current employment
COMPOUND ADVISERS, INC.	Former SEC adviser	Oct 13, 2020	Nov 27, 2023	no	SAN FRANCISCO, CA\|OAKLAND, CA	Previous registration
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Jan 12, 2017	Oct 12, 2020	no	SAN FRANCISCO, CA	Previous registration
MORLING FINANCIAL ADVISORS, LLC	Independent wealth	Oct 1, 2014	Jan 9, 2017	no	FREMONT, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 2, 2014	Sep 17, 2014	no	Pleasanton, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Nov 20, 2012	Dec 6, 2013	no	SCOTTSDALE, AZ\|DANVILLE, CA\|SCOTTSDALE, AZ	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
COMPOUND ADVISERS, INC.	COMPOUND PLANNING, INC.	Nov 27, 2023	Oct 25, 2023	-33	Firm change after gap	RIA to RIA
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	COMPOUND ADVISERS, INC.	Oct 12, 2020	Oct 13, 2020	1	Firm change	Ibd to RIA
MORLING FINANCIAL ADVISORS, LLC	J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Jan 9, 2017	Jan 12, 2017	3	Firm change	Other
MML INVESTORS SERVICES, LLC	MORLING FINANCIAL ADVISORS, LLC	Sep 17, 2014	Oct 1, 2014	14	Firm change	Other
EQUITABLE ADVISORS, LLC	MML INVESTORS SERVICES, LLC	Dec 6, 2013	May 2, 2014	147	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
306341:171787:CA:2023-11-27	Nov 27, 2023	Oct 25, 2023	OAKLAND, CA	Firm change after gap

Relationships

Registered with (6)

→ COMPOUND PLANNING, INC.Registered adviserregistration: current employment
Oct 25, 2023 to presentfactForm ADV
→ COMPOUND ADVISERS, INC.Registered adviserregistration: previous registration
Oct 13, 2020 to Nov 27, 2023factForm ADV
→ J.P. MORGAN PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Jan 12, 2017 to Oct 12, 2020factForm ADV
→ MORLING FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 1, 2014 to Jan 9, 2017factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 2, 2014 to Sep 17, 2014factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 20, 2012 to Dec 6, 2013factForm ADV

Dated events

Occurred
Nov 27, 2023
Advisor changed firm
Nicholas Giovanni Garcia left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-25)
Form ADVobserved 3 days ago