DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Nicholas Giovanni Garcia

Compound Planning, Inc.independent RIANew York, Ny IA-onlyIAPD 6091282

Feed of 09/14/2026

Also filed as Giovanni Garcia

At current firm

2 y

since Oct 25, 2023

In the industry

14 y

since Sep 4, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Principal Wealth Advisorreportedcompoundplanning.comfirm site, Sep 15, 2026
Partner or owner: “Principal Wealth Advisor”reportedcompoundplanning.comthe sentence on the bio page
Professional profile: compoundplanning.com/company/team/nicholas-garciareportedcompoundplanning.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

Compound Planning, Inc. independent RIA current
since Oct 25, 2023 · New York, Ny
Compound Advisers, Inc. former
Oct 13, 2020 to Nov 27, 2023 · San Francisco, Ca
J.P. Morgan Private Wealth Advisors LLC former
Jan 12, 2017 to Oct 12, 2020 · San Francisco, Ca
Morling Financial Advisors, LLC independent RIA
Oct 1, 2014 to Jan 9, 2017 · Fremont, Ca
MML Investors Services, LLC BD affiliated
May 2, 2014 to Sep 17, 2014 · Pleasanton, Ca
Equitable Advisors, LLC national BD
Nov 20, 2012 to Dec 6, 2013 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

Compound Advisers, Inc. to Compound Planning, Inc.
left Nov 27, 2023, registered Oct 25, 2023 (-33 days) · RIA to RIA · moved with a team
J.P. Morgan Private Wealth Advisors LLC to Compound Advisers, Inc.
left Oct 12, 2020, registered Oct 13, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA
Morling Financial Advisors, LLC to J.P. Morgan Private Wealth Advisors LLC
left Jan 9, 2017, registered Jan 12, 2017 (3 days) · Other
MML Investors Services, LLC to Morling Financial Advisors, LLC
left Sep 17, 2014, registered Oct 1, 2014 (14 days) · Other
Equitable Advisors, LLC to MML Investors Services, LLC
left Dec 6, 2013, registered May 2, 2014 (147 days) · Other

Signals

Nicholas Giovanni Garcia left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-25)
Nov 27, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address