Kevin G. Mann

COMPOUND PLANNING

Wheat Ridge, CO

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CRD#: 4387585

Professional summary

Kevin George Mann, CFP® is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Wheat Ridge, Colorado.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Kevin has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin George Mann's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

March 1, 2024 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Wheat Ridge, CO

Past

April 3, 2023 - March 5, 2024

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

March 14, 2018 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Denver, CO

Past

January 3, 2015 - March 15, 2018

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

February 14, 2006 - March 18, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ENGLEWOOD, CO

Past

February 14, 2006 - March 18, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

Past

November 12, 2003 - February 3, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

LAKEWOOD, CO

Past

September 3, 2003 - February 3, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 11, 2001 - June 12, 2003

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(3/1/2024)

IAR

Massachusetts
(12/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/6/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/11/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/2/2015

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 11/4/2003

General Securities Representative Examination

Current Firm

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 Terminated)

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Contact information

Main Address

115 Broadway 5th Floor, New York, NY 10006

Mailing Address

169 Madison Avenue Suite 15201, New York, NY 10016

Phone number

(888) 533-9364

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPOUND PLANNING-FORM ADV, PART 2A BROCHURE (9/29/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 3,025,356,111

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kevin G. Mann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin George Mann's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

PERSONAL CAPITAL ADVISORS CORPORATION

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/6/2015

Series 66

Date: 11/11/2003

SIE

Date: 3/15/2018

Series 6

Date: 1/2/2015

Series 7

Date: 11/4/2003

Current Firm

COMPOUND PLANNING, INC.

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPOUND PLANNING, INC.

TRUST BUT VERIFY

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