Compound Advisory

Compound Advisory LLC is a recently formed investment adviser that provides portfolio management services, including preparation of an investment policy statement, asset allocation, asset selection, and regular portfolio monitoring. The brochure lists the firm’s permitted investments as mutual funds, fixed income, real estate funds (including REITs), annuities, equities, ETFs (including precious metal sector ETFs), TIPS, commodities, and non‑U.S. securities.

The firm describes a multi‑method investment approach—charting, cyclical, fundamental, modern portfolio theory, quantitative and technical analysis—combined with a long‑term trading orientation and the use of model allocations tailored to client goals; it typically seeks discretionary authority and says it aims to allocate limited opportunities (e.g., IPOs) fairly among clients. The brochure also states the firm does not utilize third‑party managers, does not participate in wrap fee programs, and allows clients to impose reasonable investment restrictions.

Noteworthy aspects disclosed in the brochure include that the firm was formed in December 2024 and reported zero assets under management and no client accounts as of January 2025, and that its sole management person has an existing affiliation with another advisory firm that is expected to be resigned prior to approval. The firm also discloses a prior regulatory matter involving its management person—a 2019 FINRA suspension arising from an arbitration matter that was later resolved through mediation with a multi‑year payment agreement—and describes institutional custody/platform relationships with Schwab Institutional and Altruist that provide software and other services.