Beau Michael Simon

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

• 04/2016 → 11/2016
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 09/2016 → 11/2016
  Northwestern Mutual Investment Services Llc
  Newport Beach, CA
• 11/2016 → 01/2017
  Unemployed
  Los Angeles, CA
• 01/2017 → 09/2017
  Lpl Financial, Llc
  Santa Monica, CA
• 01/2017 → 09/2017
  Gerber Kawasaki Wealth & Investment Management
  Santa Monica, CA
• 09/2017 → 01/2018
  Unemployed
  Los Angeles, CA
• 01/2018 → 04/2023
  Personal Capital Advisors
  Denver, CO
• 04/2023 → 01/2024
  Empower Advisory Group, Llc
  Greenwood Village, CO
• 01/2024 → Present
  Compound Planning
  New York, NY

Previous Registrations

• 2023-04-03 → 2024-01-31
  Empower Advisory Group, Llc
  Royal Oak, MI
  Greenwood Village, CO
  Greenwood Village, CO
• 2018-01-24 → 2023-04-03
  Personal Capital Advisors Corporation
  Denver, CO
  Denver, CO
  Taos, NM
  Greenwood Village, CO
• 2017-01-26 → 2018-01-11
  Gerber Kawasaki Wealth & Investment Management
  Santa Monica, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-01-16
• S63 Uniform Securities Agent State Law Examination
  2016-10-07

Other Names

• Beau Michael Warda
• Beau Michael Warda
• Beau Michael Simon