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.

Former SEC-registered adviser

Compound Advisers, Inc.

Former SEC-registered adviserSan Francisco, CaliforniaCRD 306341SEC 801-122303IAPD
Latest filing Sep 15, 2023
First filing on the tape Aug 12, 2021 · 14 filings
RAUM
$317M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
100%
$317M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
18 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$317M as of Mar 10, 2023
Mar 30, 2022$203M then
HNW client RAUM$254M as of Mar 10, 2023
Mar 30, 2022$170M then
State-registered IARs (5.B.3)11 as of Mar 10, 2023
Mar 30, 202211 then
Employees (5.A)55 as of Mar 10, 2023
Mar 30, 202255 then
Private funds: no history
RAUM +56% over the last fiscal yearIARs 11 to 11
Practice profile
derived from the filing of Sep 15, 2023; every figure names its basis
RAUM per advisor
$28.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$934,669derivedRAUM over accounts (5.F.2.f)
Discretionary
72%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
5.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+56%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$254M80%
  • Individuals$63.0M20%
Individual clients
197reported
HNW clients
142reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
339reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • David Jordan Gonen · Chief Executive Officercontrol
      since 10/2019 · owns less than 5%
    • Schein Jacob · Chief Technology Officercontrol
      since 10/2019 · owns less than 5%
    • Alexander Michael Lieberman · Chief Compliance Officercontrol
      since 07/2023 · owns less than 5%
    Entity owners
    • Compound Financial, Inc. · Sole Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Compound Tax, LLC
      insurancey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Philadelphia, Pa000
    San Francisco, Ca · principal000
    Oakland, Ca000
    Northlake, Tx000
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY9 employees
    What changed
    consecutive filings, newest first
    • Accounts · 411 to 339
      Jan 3, 2023 to Mar 10, 2023
    • HNW clients · 100 to 142
      Jan 3, 2023 to Mar 10, 2023
    • Individual clients · 311 to 197
      Jan 3, 2023 to Mar 10, 2023
    • Financial planning clients · 101-250 to 251-500
      Jan 3, 2023 to Mar 10, 2023
    • Discretionary RAUM · $186M to $229M
      Jan 3, 2023 to Mar 10, 2023
    • HNW RAUM · $170M to $254M
      Jan 3, 2023 to Mar 10, 2023
    • Individual RAUM · $32.8M to $63.0M
      Jan 3, 2023 to Mar 10, 2023
    • Non-discretionary RAUM · $16.9M to $88.1M
      Jan 3, 2023 to Mar 10, 2023
    • RAUM · $203M to $317M
      Jan 3, 2023 to Mar 10, 2023
    • Accounts · 221 to 411
      Feb 9, 2022 to Mar 30, 2022
    • Advisory employees · 6 to 18
      Feb 9, 2022 to Mar 30, 2022
    • HNW clients · unset to 100.0
      Feb 9, 2022 to Mar 30, 2022
    • Individual clients · 107 to 311
      Feb 9, 2022 to Mar 30, 2022
    • Employees · 21 to 55
      Feb 9, 2022 to Mar 30, 2022
    • Financial planning clients · 26-50 to 101-250
      Feb 9, 2022 to Mar 30, 2022
    • State-registered IARs · 1 to 11
      Feb 9, 2022 to Mar 30, 2022
    • Discretionary RAUM · $103M to $186M
      Feb 9, 2022 to Mar 30, 2022
    • HNW RAUM · $0 to $170M
      Feb 9, 2022 to Mar 30, 2022
    • Individual RAUM · $114M to $32.8M
      Feb 9, 2022 to Mar 30, 2022
    • Non-discretionary RAUM · $10.8M to $16.9M
      Feb 9, 2022 to Mar 30, 2022
    • RAUM · $114M to $203M
      Feb 9, 2022 to Mar 30, 2022
    Signals
    20 dated events
    • Tara G Shulman left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2024-01-02)
      Nov 27, 2023 · Advisor changed firm · fact
    • Nicholas Giovanni Garcia left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-25)
      Nov 27, 2023 · Advisor changed firm · fact
    • Marco Gino Miranda left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-20)
      Nov 27, 2023 · Advisor changed firm · fact
    • Raul Rodriguez left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-20)
      Nov 27, 2023 · Advisor changed firm · fact
    • Mark A Cecchini left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-20)
      Nov 27, 2023 · Advisor changed firm · fact
    • Gabriel E Garcia left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-19)
      Nov 27, 2023 · Advisor changed firm · fact
    • Tammy Marie Johns left Compound Advisers, Inc. for Compound Planning, Inc. (registered 2023-10-20)
      Nov 27, 2023 · Advisor changed firm · fact
    • Compound Advisers, Inc.'s advisors moved to Compound Planning, Inc. (San Francisco, CA): 5 of 7 registered, on the same day
      Nov 27, 2023 · Firm absorbed (people side) · derived
    • Eric Michael Sassano left Compound Advisers, Inc. for Pathstone (registered 2026-09-02)
      Sep 13, 2023 · Advisor changed firm · fact
    • Ryan Klemm left Compound Advisers, Inc. for Range Advisory, Llc (registered 2024-02-26)
      Sep 13, 2023 · Advisor changed firm · fact
    • Steven Gabriel Walraven left Compound Advisers, Inc. for Lilac Wealth, Llc (registered 2025-08-29)
      Sep 13, 2023 · Advisor changed firm · fact
    • Christine Le Raimond left Compound Advisers, Inc. for Northstar Investment Advisory Llc (registered 2025-01-08)
      Sep 13, 2023 · Advisor changed firm · fact
    • Garrett Benjamin Snipes (Chief Compliance Officer And General Counsel) no longer on Schedule A of Compound Advisers, Inc. (listed 2023-05-25, absent 2023-07-17)
      Jul 17, 2023 · Control person left · inference
    • Alexander Michael Lieberman (Chief Compliance Officer) appeared on Schedule A of Compound Advisers, Inc.
      Jul 17, 2023 · Control person joined · fact
    • Craig Leon Blackwell left Compound Advisers, Inc. for Altar Rock (registered 2024-06-17)
      Jun 6, 2023 · Advisor changed firm · fact
    • Compound Advisers, Inc. reported RAUM $316.9M, up 56% from $202.9M (2023-01-03 to 2023-03-10)
      Mar 10, 2023 · RAUM change · derived
    • Compound Advisers, Inc. reported 11 state-registered advisory representatives, up from 1 (2022-02-09 to 2022-03-30)
      Mar 30, 2022 · Advisor headcount change · derived
    • Kevin Umesh Shah left Compound Advisers, Inc. for Provence Wealth Management Group (registered 2022-09-02)
      Mar 21, 2022 · Advisor changed firm · fact
    • Garrett Benjamin Snipes (Chief Compliance Officer And General Counsel) appeared on Schedule A of Compound Advisers, Inc.
      Feb 9, 2022 · Control person joined · fact
    • Compound Advisers, Inc. filed its initial SEC registration (Form ADV)
      Aug 12, 2021 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026