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Inactive

Cole T Schmitt

Compound Planning, Inc.

East Rochester, NY

CRD 6199089

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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:

Current Employers
Compound Planning, Inc.

115 Broadway 5Th Floor, New York, NY 10006 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-07-18
  • NY RA
    APPROVED
    Since 2025-07-18

Branch Locations

East Rochester, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Equimark East Llc Rochester NY 05/2013 12/2019
Bright Futures Wealth Management Llc Pittsford NY 01/2018 07/2022
Cetera Advisors Denver CO 01/2018 07/2022
Alesco Advisors Llc Pittsford NY 07/2022 Present
Compound Planning, Inc New York NY 04/2025 Present
  • 05/2013 → 12/2019
    Equimark East Llc
    Rochester, NY
  • 01/2018 → 07/2022
    Bright Futures Wealth Management Llc
    Pittsford, NY
  • 01/2018 → 07/2022
    Cetera Advisors
    Denver, CO
  • 07/2022 → Present
    Alesco Advisors Llc
    Pittsford, NY
  • 04/2025 → Present
    Compound Planning, Inc
    New York, NY
Previous Registrations
  • 2022-09-02 → 2025-07-12
    Alesco Advisors Llc
    Pittsford, NY
  • 2022-06-02 → 2022-08-03
    Cetera Advisors Llc
    Webster, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-05-19
S63 Uniform Securities Agent State Law Examination 2019-05-07
  • S65 Uniform Investment Adviser Law Examination
    2022-05-19
  • S63 Uniform Securities Agent State Law Examination
    2019-05-07

View on SEC IAPD

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