Wealth manager, independent · Newport Beach, CA
Compak Asset Management
SEC-registered investment adviser · CRD 109930 · SEC 801-58081
At a glance
Compak Asset Management is an SEC-registered investment adviser based in Newport Beach, California, with $1.5B in regulatory assets under management as of its Form ADV filed March 31, 2026. It reports 1,734 individual clients, 1,155 of them high-net-worth, holding an average of about $0.9 million each, and 20 employees. That ranks it 720th among the nation’s 5,657 independent wealth management RIAs and 87th of 714 in California. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 800-388-9700compak.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #720 of 5,657
- Rank among all SEC RIAs
- #4,232 of 17,210
- Rank in California
- #87 of 714
- Individual clients
- 1,734
- High-net-worth clients
- 1,155
- Accounts
- 2,939
- Discretionary
- 99% of AUM
- Employees
- 20
- Advisory staff
- 14
- Offices
- 2
Owners and executives on its Form ADV
- Moeez U. AnsariPresident
- Feroz U. AnsariCCO / Senior Principal
Custody and brokerage
Broker-dealer
Hybrid RIA
Compak Asset Management is a hybrid RIA: 13 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Compak Securities, Inc..
- Compak Securities, Inc. ↗CRD 125472
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
Its Form ADV brochure (filed March 2026) names Compak Securities as the broker-dealer its advisers are registered with.
t while acting as a Registered Representative of our affiliated broker-dealer (Compak Securities, Inc.) will receive trailing sales commissions from insurance companies and product sponsors in connection with your decision to invest in var
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,155 | $1.3B | 89% |
| Individuals | 579 | $143M | 9% |
| Pension and profit sharing plans | 4 | $20M | 1% |
| Corporations or other businesses | 13 | $7M | <1% |
Disciplinary disclosures
Compak Asset Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Other
Form ADV and brochures on the SEC’s adviser search ↗compak.com ↗
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The full record on Compak Asset Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,507 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Regatta Capital Group, LLCEL Segundo | $1.6B | 1,088 |
| Benefit Financial Services GroupIrvine | $1.5B | 861 |
| Tamar Securities, LLCWoodland Hills | $1.5B | 4,198 |
| Salem Partners Wealth Management, LLCLOS Angeles | $1.5B | 46 |
| Quantum Financial Advisors, LLCSanta Monica | $1.5B | 451 |
| Apriem AdvisorsIrvine | $1.5B | 1,060 |
Background
Questions
How much does Compak Asset Management manage?
Compak Asset Management reports $1.5B in regulatory assets under management across 2,939 accounts, 99% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
How many clients does Compak Asset Management have?
It reports 1,734 individual clients: 1,155 high-net-worth individuals and 579 other individuals. Individuals account for about 98% of its regulatory assets.
Where is Compak Asset Management headquartered?
Its main office is in Newport Beach, California. It reports 2 offices in total and 20 employees, 14 of whom perform investment advisory functions.
How does Compak Asset Management charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees; commissions; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Compak Asset Management use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 31, 2026, it reports these amounts held: Fidelity ($1.5B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Compak Asset Management a hybrid RIA with a broker-dealer?
Compak Asset Management is a hybrid RIA: 13 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Compak Securities, Inc.. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Compak Asset Management a fiduciary?
As an SEC-registered investment adviser, Compak Asset Management owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 13 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Compak Asset Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →