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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

RICHARD JAMES GOW

Advisor at COMPOUND PLANNING, INC.

Pompano Beach, FL | NEW YORK, NY

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Search this name across graphsid dfx:ria:f79183b0-de8e-b75d-f2d3-c848b29771fa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: May 3, 2007 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: May 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 1, 2007
First registration: May 3, 2007
Dual registered: yes, broker-dealer
Other names: RICK GOW
IAPD individual key: 2350424

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	Sep 21, 2022	n/a	yes	NEW YORK, NY\|Pompano Beach, FL	Current employment
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Mar 1, 2021	Apr 12, 2024	no	ROME, GA\|POMPANO BEACH, FL\|ROME, GA\|ROME, GA\|Pompano Beach, FL	Previous registration
CLARAPHI ADVISORY NETWORK, LLC	Independent wealth	Aug 26, 2019	Sep 30, 2022	no	POMPANO BEACH, FL\|ALISO VIEJO, CA\|POMPANO BEACH, FL	Previous registration
FISCAL WISDOM WEALTH MANAGEMENT LLC	Independent wealth	Jun 3, 2019	Mar 1, 2021	no	CANTON, CT\|Pompano Beach, FL	Previous registration
XML FINANCIAL GROUP	Independent wealth	Feb 1, 2019	May 17, 2019	no	Pompano Beach, FL\|BETHESDA, MD	Previous registration
LARA, MAY & ASSOCIATES, LLC	Former SEC adviser	Mar 19, 2010	Feb 1, 2019	no	Fairfax, VA\|FALLS CHURCH, VA\|BETHESDA, MD\|FORT MYERS, FL\|Pompano Beach,, FL\|Rockville, MD	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 25, 2010	no	RESTON, VA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 3, 2007	Jun 1, 2009	no	RESTON, VA\|VIENNA, VA	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
DEMPSEY LORD SMITH, LLC	COMPOUND PLANNING, INC.	Apr 12, 2024	Sep 21, 2022	-569	Firm change after gap	RIA to RIA
CLARAPHI ADVISORY NETWORK, LLC	DEMPSEY LORD SMITH, LLC	Sep 30, 2022	Mar 1, 2021	-578	Firm change after gap	RIA to RIA
FISCAL WISDOM WEALTH MANAGEMENT LLC	CLARAPHI ADVISORY NETWORK, LLC	Mar 1, 2021	Aug 26, 2019	-553	Firm change after gap	RIA to RIA
XML FINANCIAL GROUP	FISCAL WISDOM WEALTH MANAGEMENT LLC	May 17, 2019	Jun 3, 2019	17	Firm change	RIA to RIA
LARA, MAY & ASSOCIATES, LLC	XML FINANCIAL GROUP	Feb 1, 2019	Feb 1, 2019	0	Firm change	RIA to RIA
MORGAN STANLEY	LARA, MAY & ASSOCIATES, LLC	Mar 25, 2010	Mar 19, 2010	-6	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
145589:284987:MD:2019-02-01	Feb 1, 2019	Feb 1, 2019	ROCKVILLE, MD	Firm change

Relationships

Registered with (8)

→ COMPOUND PLANNING, INC.Registered adviserregistration: current employment
Sep 21, 2022 to presentfactForm ADV
→ DEMPSEY LORD SMITH, LLCRegistered adviserregistration: previous registration
Mar 1, 2021 to Apr 12, 2024factForm ADV
→ CLARAPHI ADVISORY NETWORK, LLCRegistered adviserregistration: previous registration
Aug 26, 2019 to Sep 30, 2022factForm ADV
→ FISCAL WISDOM WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 3, 2019 to Mar 1, 2021factForm ADV
→ XML FINANCIAL GROUPRegistered adviserregistration: previous registration
Feb 1, 2019 to May 17, 2019factForm ADV
→ LARA, MAY & ASSOCIATES, LLCRegistered adviserregistration: previous registration
Mar 19, 2010 to Feb 1, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 25, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 3, 2007 to Jun 1, 2009factForm ADV

Dated events

Occurred
Apr 12, 2024
Advisor changed firm
Richard James Gow left Dempsey Lord Smith, Llc for Compound Planning, Inc. (registered 2022-09-21)
Form ADVobserved 5 days ago
Occurred
Sep 30, 2022
Advisor changed firm
Richard James Gow left Claraphi Advisory Network, Llc for Dempsey Lord Smith, Llc (registered 2021-03-01)
Form ADVobserved 5 days ago