Kiley C. Maertz

COMPOUND PLANNING

Laguna Niguel, CA 92677

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CRD#: 5294563

Professional summary

Kiley Connors Maertz, who also goes by Kile C Maertz, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Laguna Niguel, California.

Kiley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Kiley has worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kile C Maertz

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.

Mr. Maertz is a licensed agent and sells annuities and insurance through a separate entity, Heritage Financial Services. He spends 90% of his time for Heritage Financial Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kiley Connors Maertz'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®

None

Experience

Current

June 21, 2023 - Present

COMPOUND PLANNING, INC.

Office #1: 28142 Camino Capistrano Ste 101, Laguna Niguel, CA 92677

RIA

CRD#: 171787

Laguna Niguel, CA

Past

March 21, 2018 - December 31, 2023

CLARAPHI ADVISORY NETWORK, LLC

RIA

CRD#: 165868

Laguna Niguel, CA

Past

July 11, 2017 - March 19, 2018

CLARAPHI ADVISORY NETWORK, LLC

RIA

CRD#: 165868

Lake Forest, CA

Past

October 17, 2012 - January 15, 2014

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

TRABUCO CANYON, CA

Past

August 28, 2012 - September 7, 2012

ALT FUND DISTRIBUTORS LLC

CRD#: 146547

NEW YORK, NY

Past

February 22, 2012 - April 23, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

LOS ANGELES, CA

Past

March 4, 2009 - January 10, 2011

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 17, 2007 - February 25, 2009

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

WOODLAND HILLS, CA

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

California
(6/21/2023)

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

IAR

Series 65

Date: 5/2/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/16/2007

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)

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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

Kiley C. Maertz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kiley Connors Maertz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLARAPHI ADVISORY NETWORK, LLC

CLARAPHI ADVISORY NETWORK, LLC

PATRICK CAPITAL MARKETS, LLC

ALT FUND DISTRIBUTORS LLC

EQUITABLE ADVISORS, LLC

GUARDIAN INVESTOR SERVICES LLC

COREBRIDGE CAPITAL SERVICES, INC.

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2017

Series 63

Date: 11/19/2007

Series 6

Date: 10/16/2007

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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