SD
Stephen O. Dean
COMPOUND PLANNING
NEW YORK, NY 10006
Some features on this profile are disabled
CRD#: 7347363
SD
Professional summary
Stephen Odell Dean III, who also goes by Stephen Dean, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in New York, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Stephen has worked at 2 firms .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Dean
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.
I provide informal product strategy advice to two pre-revenue
startup companies that are not investment related:
Tensoriel, a news filtering service; and, KrownData, a data platform software provider. I am not an employee, contractor, owner, officer, director or partner of either. I do not earn or expect to earn income from these activities. It takes about 2 hours per month of my time all outside of regular business and trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Odell Dean III's 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®
NoneExperience
Current
September 30, 2022 - Present
COMPOUND PLANNING, INC.
Office #1: 115 Broadway 5th Floor, New York, NY 10006RIA
CRD#: 171787
NEW YORK, NY
Past
March 30, 2021 - August 15, 2022
CLARAPHI ADVISORY NETWORK, LLC
RIA
CRD#: 165868
Piedmont, 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".
CP
COMPOUND PLANNING, INC.
ALTERNATIV WEALTH | SHOPOFF PRIVATE CLIENT GROUP | COMPOUND PLANNING, INC. | COMPOUND PLANNING | ATOMI PRIVATE CLIENT GROUP | ATOMI FINANCIAL GROUP, INC. | ATOMI FINANCIAL GROUP | ATOMI FINANCIAL ADVISORS | ATOMI ASSET MANAGEMENT
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)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(9/30/2022)
Exams
Current Firm
CP
COMPOUND PLANNING, INC.
ALTERNATIV WEALTH | SHOPOFF PRIVATE CLIENT GROUP | COMPOUND PLANNING, INC. | COMPOUND PLANNING | ATOMI PRIVATE CLIENT GROUP | ATOMI FINANCIAL GROUP, INC. | ATOMI FINANCIAL GROUP | ATOMI FINANCIAL ADVISORS | ATOMI ASSET MANAGEMENT
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
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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)
Regulatory assets under management
| Total Number of Accounts | 6,372 |
| AUM (Assets Under Management) | $ 3,025,356,111 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
