Beau M. Simon

COMPOUND PLANNING

Royal Oak, MI

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CRD#: 6620631

Professional summary

Beau Michael Simon, who also goes by Beau Michael Warda, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Royal Oak, Michigan.

Beau is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Beau has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Beau Michael Warda

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 Beau Michael Simon'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

January 30, 2024 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Royal Oak, MI

Past

April 3, 2023 - January 31, 2024

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Royal Oak, MI

Past

January 24, 2018 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Taos, NM

Past

January 26, 2017 - January 11, 2018

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

RIA

CRD#: 153649

SANTA MONICA, CA

Past

January 9, 2017 - August 30, 2017

LPL FINANCIAL LLC

CRD#: 6413

SANTA MONICA, CA

Past

September 28, 2016 - November 8, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEWPORT BEACH, 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

Colorado
(6/11/2024)

IAR

Michigan
(1/30/2024)

IAR

New York
(2/10/2025)

IAR

Texas
(6/10/2024)

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

IAR

Series 65

Date: 1/16/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/2016

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

Beau M. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Beau Michael Simon's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

PERSONAL CAPITAL ADVISORS CORPORATION

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2017

Series 63

Date: 10/7/2016

SIE

Date: 8/30/2017

Series 7

Date: 5/5/2017

Series 6

Date: 9/27/2016

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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