Compak Asset Management
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Overview
Compak Asset Management operates as a financial advisory company that has its headquarters in Newport Beach, California. The company manages $895.0 million in assets throughout 2,670 accounts, placing it among the larger investment advisory firms in the country by assets under management (AUM). The firm has a small team, including 12 financial advisors. Compak Asset Management is not a registered broker-dealer, signifying that the company is not able to buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer firm to do so. Securities are defined as exchangable financial investments like bonds, options and stocks.
Compak Asset Management administers 2,395 of the firm's client assets on a discretionary basis. Discretionary management is a structure in which transaction decisions for the client's account are made by an investment advisor without requiring client authorization. Compak Asset Management also manages 275 non-discretionary accounts with a total of $27.6 million in assets. The investment advisory firm's typical account size is $335,223. The average advisor at Compak Asset Management oversees about 223 client accounts.
The firm's headquarters is at 1801 Dove Street, Newport Beach, California 92660. The company is legally allowed to provide services to customers across 27 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Compak Asset Management by the Numbers
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/assets@2x.png)
$895.0 million
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/employees@2x.png)
18
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/accounts@2x.png)
2,670
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/account-size@2x.png)
$335.2 thousand
Products and Services
Compak Asset Management provides a variety of services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and educational seminars. In the prior financial year, the company provided 101-250 of its accounts with financial planning services. Compak Asset Management does sell products or offer services aside from investment advisory services to its customers. Compak Asset Management also has a number of financial industry affiliations, including with a broker-dealer or securities dealer.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 6% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Financial advisory fees largely are based on which services the firm provides the client. Fee types billed by Compak Asset Management can be comprised of any blend of the following fee structures: asset-based, hourly, commission-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 21% of firms
Hourly
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Offered by 1% of firms
Commissions
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Offered by 10% of firms
Other
Unavailable
Types of Clients
The company caters to retail investors, high net worth investors and corporations. Out of its 2,670 clients, Compak Asset Management's biggest client type by number of accounts is high net worth investors, but it also serves 617 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's accounts are from outside of the U.S.
- High-Net-Worth Individuals* - 58.82%
- Other Individuals - 40.51%
- Corporations - 0.67%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Compak Asset Management does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Compak Asset Management
Newport Beach, CA
Newport Beach, CA
Newport Beach, CA
Newport Beach, CA
Newport Beach, CA
Newport Beach, CA
Newport Beach, CA
Newport Beach, CA
Newport Beach, CA
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