COMPOUND ADVISERS, INC.
Adviser information for COMPOUND ADVISERS, INC. last updated from Form ADV on September 15th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 55 |
|---|---|
| Investment Advisory/Research | 18 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 204 | $228.8M |
| Non-Discretionary | 135 | $88.1M |
| Total | 339 | $316.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 197 | $63.0M |
| HNW Individuals | 142 | $253.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 132 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-122303 |
|---|---|
| SEC ERA File Number | 801-122303 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306341 |
| Legal Entity Identifier | None |
Principal Office
580 MARKET STREET #300SAN FRANCISCO
CA
United States
Monday - Friday, BY APPOINTMENT
Tel: 415-417-1180, Fax: +16502754399
Chief Compliance Officer
MICHAEL LIEBERMAN
2261 MARKET STREET
#4013
SAN FRANCISCO
CA
United States
Tel:
212-699-0844
M******@***************M
(Full email address available in API data)
Industry Affiliates
| COMPOUND TAX | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Gonen, Jordan, David | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2019 | < 5% |
| Jacob, Schein | Individual | – | CHIEF TECHNOLOGY OFFICER | 10/2019 | < 5% |
| COMPOUND FINANCIAL, INC. | Domestic Entity | – | SOLE OWNER | 10/2019 | > 75% |
| LIEBERMAN, MICHAEL, ALEXANDER | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |