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RIA / WealthAdvisor28 years in industry

MICHAEL JOHN OCONNOR

Advisor at COMPOUND PLANNING, INC.

Santa Rosa, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:e38b9eb3-4e7c-9449-312e-4d3c88742dc1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 15, 2002 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 8, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Sep 8, 1998
First registration: Oct 15, 2002
Dual registered: no
Other names: MIKE O'CONNOR
IAPD individual key: 3104084

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 1, 2025	n/a	yes	Santa Rosa, CA\|NEW YORK, NY	Current employment
Concentric	Independent wealth	Jun 22, 2022	Feb 21, 2024	no	WALNUT CREEK, CA	Previous registration
ADVISOR PARTNERS, LLC	Former SEC adviser	Dec 19, 2019	Dec 31, 2020	no	WALNUT CREEK, CA	Previous registration
ASSEMBLY WEALTH	Independent wealth	May 5, 2010	Oct 10, 2019	no	MILL VALLEY, CA	Previous registration
ASSETMARK, INC.	Bd affiliated wealth	Mar 13, 2009	Mar 23, 2010	no	CONCORD, CA	Previous registration
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC	Asset manager	Oct 15, 2002	Jun 27, 2003	no	SAN FRANCISCO, CA	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
Concentric	COMPOUND PLANNING, INC.	Feb 21, 2024	Jan 1, 2025	315	Firm change	RIA to RIA
ADVISOR PARTNERS, LLC	Concentric	Dec 31, 2020	Jun 22, 2022	538	Firm change after gap	RIA to new firm
ASSEMBLY WEALTH	ADVISOR PARTNERS, LLC	Oct 10, 2019	Dec 19, 2019	70	Firm change	RIA to RIA
ASSETMARK, INC.	ASSEMBLY WEALTH	Mar 23, 2010	May 5, 2010	43	Firm change	Other
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC	ASSETMARK, INC.	Jun 27, 2003	Mar 13, 2009	2,086	Firm change after gap	Other

Relationships

Registered with (6)

→ COMPOUND PLANNING, INC.Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ CONCENTRICRegistered adviserregistration: previous registration
Jun 22, 2022 to Feb 21, 2024factForm ADV
→ ADVISOR PARTNERS, LLCRegistered adviserregistration: previous registration
Dec 19, 2019 to Dec 31, 2020factForm ADV
→ ASSEMBLY WEALTHRegistered adviserregistration: previous registration
May 5, 2010 to Oct 10, 2019factForm ADV
→ ASSETMARK, INC.Registered adviserregistration: previous registration
Mar 13, 2009 to Mar 23, 2010factForm ADV
→ MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLCRegistered adviserregistration: previous registration
Oct 15, 2002 to Jun 27, 2003factForm ADV

Dated events

Occurred
Feb 21, 2024
Advisor changed firm
Michael John Oconnor left Concentric for Compound Planning, Inc. (registered 2025-01-01)
Form ADVobserved 5 days ago