COMPAK ASSET MANAGEMENT
Adviser information for COMPAK ASSET MANAGEMENT last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 13 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 13 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,729 | $1.0B |
| Non-Discretionary | 298 | $34.3M |
| Total | 3,027 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 406 | $97.5M |
| HNW Individuals | 644 | $960.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 6 | $21.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesCommissionsACCOUNT MAINTENANCE FEE OF $45 PER CALENDAR QUARTER SEE SCHED D |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-58081 |
|---|---|
| SEC ERA File Number | 801-58081 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109930 |
| Legal Entity Identifier | None |
Principal Office
1801 DOVE STREETNEWPORT BEACH
CA
United States
Monday - Friday, 7:00 AM TO 5:00 PM
Tel: (800) 388-9700, Fax: 877-454-5591
Chief Compliance Officer
FEROZ ANSARI
CHIEF COMPLIANCE OFFICER
1801 DOVE STREET
NEWPORT BEACH
CA
United States
Tel:
(800) 388-9700
Fax:
877-454-5591
F******@*********M
(Full email address available in API data)
Regulatory Contact
MOEEZ ANSARI
PRESIDENT
1801 DOVE STREET
NEWPORT BEACH
CA
United States
Tel:
9496792500
M******@*********M
(Full email address available in API data)
Industry Affiliates
| COMPAK SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ANSARI, MOEEZ, UL-HAQ | Individual | – | PRESIDENT | 12/1999 | > 75% |
| ANSARI, FEROZ, ULHAQ | Individual | – | CCO / SENIOR PRINCIPAL | 03/2005 | 10-25% |