SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Compak Asset Management
Newport Beach, CA
CRD 109930
Firm filing updated March 31, 2026 ·
- $1.5BAssets
- 1,751Clients
- 14Advisory staff
- 2,939Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- CommissionsYes
- OtherYes
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
Who the firm serves
- High net worth individuals1,155
- Individuals579
- Corporations or other businesses13
- Pension and profit sharing plans4
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 579 | $142.9 million |
| High net worth individuals | 1,155 | $1.3 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 4 | $20.0 million |
| Corporations or other businesses not listed above | 13 | $7.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 5 services
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$1.5 billion
- Accounts2,939
- Discretionary$1.5 billion · 2,711 accounts
- Non-discretionary$21.9 million · 228 accounts
People
- Employees20
- Advisory staff14
- Broker-dealer reps13
- Licensed insurance agents13
- Planning clients101 to 250
Advisors
10 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 109930, SEC file 801-58081.
- Registered with the SEC as an investment advisor (status date on record: November 6, 2000).
Is Compak Asset Management a fiduciary?
Short answer: Compak Asset Management is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 13 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
13 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.