Mark Patzer

COMPOUND PLANNING

Novato, CA

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CRD#: 6557000

Professional summary

Mark Patzer, who also goes by Mark James Patzer, Mark Patzer, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Novato, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Mark has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark James Patzer | Mark Patzer

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.

1) Visual Display Specialists; Non Investment Related; Representative's home address in Novato, CA; CCTV monitor distributor and sales firm; Sales Manager; 01/01/2017; # of hours devoted: 3 hours/Month; Sales and General Management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Patzer'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

September 27, 2024 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Novato, CA

Past

November 1, 2022 - October 15, 2024

COMPOSITION WEALTH, LLC

RIA

CRD#: 143483

Sausalito, CA

Past

March 30, 2021 - December 31, 2022

KARP CAPITAL MANAGEMENT CORPORATION

RIA

CRD#: 131834

Sausalito, CA

Past

May 1, 2019 - June 1, 2020

BOYD WEALTH MANAGEMENT, LLC

RIA

CRD#: 293990

SACRAMENTO, CA

Past

November 7, 2016 - August 1, 2018

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

San Diego, CA

Past

October 28, 2016 - August 1, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

March 23, 2016 - October 26, 2016

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

March 4, 2016 - October 26, 2016

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, 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
(9/27/2024)

IAR

Texas
(1/9/2025)

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 66

Date: 3/22/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2016

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

Mark Patzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Patzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPOSITION WEALTH, LLC

KARP CAPITAL MANAGEMENT CORPORATION

BOYD WEALTH MANAGEMENT, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/22/2016

SIE

Date: 8/1/2018

Series 7

Date: 3/4/2016

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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