Scott M. Porter

COMPOUND PLANNING

Scottsdale, AZ 85251

Some features on this profile are disabled

CRD#: 4502249

Professional summary

Scott Manning Porter, CFP® is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Scottsdale, Arizona.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Scott has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 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 Scott Manning Porter'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

Start date: 2005

Experience

Current

January 13, 2026 - Present

COMPOUND PLANNING, INC.

Office #1: 3200 N Hayden Rd, Suite#310, Scottsdale, AZ 85251

RIA

CRD#: 171787

Scottsdale, AZ

Past

January 5, 2026 - January 14, 2026

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

ROME, GA

Past

November 24, 2025 - January 13, 2026

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Scottsdale, AZ

Past

November 21, 2025 - January 13, 2026

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SCOTTSDALE, AZ

Past

November 29, 2016 - December 31, 2025

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

ROME, GA

Past

November 14, 2016 - November 21, 2025

DEMPSEY LORD SMITH, LLC

CRD#: 141238

ROME, GA

Past

January 12, 2015 - November 15, 2016

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

NEW YORK, NY

Past

March 7, 2012 - June 8, 2016

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

SCOTTSDALE, AZ

Past

February 14, 2012 - February 27, 2013

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

SCOTTSDALE, AZ

Past

February 17, 2005 - January 4, 2012

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

April 8, 2002 - December 1, 2004

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

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

Arizona
(1/13/2026)

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: 4/5/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/5/2002

Investment Company Products/Variable Contracts 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott M. Porter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Manning Porter's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEMPSEY LORD SMITH, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

DEMPSEY LORD SMITH, LLC

DEMPSEY LORD SMITH, LLC

BENJAMIN & JEROLD BROKERAGE I, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

QUEST CAPITAL STRATEGIES, INC.

HORACE MANN INVESTORS, INC.

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2014

Series 6

Date: 4/5/2002

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

Similar Advisors