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Norman Mains

Compound Planning, INC.
32 Years of Experience
Dana Point, CA
View SEC Summary
View SEC Summary

Norman Mains is a registered investment advisor at Compound Planning, INC., based in Dana Point, CA, with 32 years of industry experience. Norman operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Estate Planning, High Net Worth, and 2 more. Their firm serves 13,653 clients with $4.8B in assets under management.

Compound Planning, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
78 advisors
Number of Clients
13,653 clients
Average Client Portfolio
$355K average
Assets Under Management
$4.8B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees vary by strategy type: 0.25% ($60 minimum) for the TAMP platform, 0.15% for in-house models, 0% to 2.00% for third-party models, 0.05% for intermediary as manager, and 0.35% for alternative strategies. Total advisory fees will not exceed a maximum cap of 2.00% of assets under management. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

24661 Del Prado Ave, Suite #5, Dana Point, CA, 92629

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Compound Planning, INC.
June 2023 - Present · 3 yrs 4 mos
Previous Registrations
Newbridge Securities CorporationBroker
June 2016 - January 2018 · 1 yr 7 mos
Claraphi Advisory Network, LLC
June 2016 - December 2023 · 7 yrs 6 mos
Robert W. Baird & CO. Incorporated
June 2015 - May 2016 · 11 mos
Robert W. Baird & CO. IncorporatedBroker
November 2007 - May 2016 · 8 yrs 6 mos
RBC Dain Rauscher INC.Broker
April 1999 - October 2007 · 8 yrs 6 mos
Abn Amro IncorporatedBroker
November 1994 - April 1999 · 4 yrs 5 mos
Abn Amro Investment Services, INC.Broker
March 1994 - November 1994 · 8 mos
State Registrations1 state
CA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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