Nicholas Giovanni Garcia

Employer firm

Compound Planning, Inc. CRD 171787

$4.85B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Periodicals / newsletters
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 12/2016
  Morling Financial Advisors, Llc
  San Francisco, CA
• 01/2016 → 10/2020
  First Republic Investment Management, Inc.
  San Francisco, CA
• 01/2017 → 10/2020
  First Republic Securities, Co.
  San Francisco, CA
• 10/2020 → 10/2023
  Compound Advisers, Inc
  San Francisco, CA
• 10/2023 → Present
  Compound Planning
  New York, NY

Previous Registrations

• 2020-10-13 → 2023-11-27
  Compound Advisers, Inc.
  Oakland, CA
  San Francisco, CA
• 2017-01-12 → 2020-10-12
  J.P. Morgan Private Wealth Advisors Llc
  San Francisco, CA
• 2014-10-01 → 2017-01-09
  Morling Financial Advisors, Llc
  Fremont, CA
• 2014-05-02 → 2014-09-17
  Mml Investors Services, Llc
  Pleasanton, CA
• 2012-11-20 → 2013-12-06
  Equitable Advisors, Llc
  Scottsdale, AZ
  Danville, CA
  Scottsdale, AZ

Exams

• S63 Uniform Securities Agent State Law Examination
  2019-04-29
• S66 Uniform Combined State Law Examination
  2012-09-04

Other Names

• Giovanni Garcia