{"url":"https://nivawealth.com/firms/compak-asset-management-109930","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109930","regulatoryAum":1516923776,"crd":"109930","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2304944","suffix":null,"lastName":"ANSARI","firstName":"FEROZ","middleName":"ULHAQ"},{"crd":"5823704","suffix":null,"lastName":"ANSARI","firstName":"IMRAN","middleName":"ULHAQ"},{"crd":"4726785","suffix":null,"lastName":"ANSARI","firstName":"JAVAID","middleName":"ULHAQ"},{"crd":"4053253","suffix":null,"lastName":"ANSARI","firstName":"MOEEZ","middleName":"UL-HAQ"},{"crd":"1063193","suffix":"JR","lastName":"BAFFA","firstName":"JOHN","middleName":"WILLIAM"},{"crd":"4566367","suffix":null,"lastName":"BOWEN","firstName":"EVA","middleName":"POPOV"},{"crd":"4877969","suffix":"IV","lastName":"DEARDORFF","firstName":"JOHN","middleName":"HOWARD"},{"crd":"8062664","suffix":null,"lastName":"Du","firstName":"Qinyi","middleName":null},{"crd":"1945251","suffix":null,"lastName":"GAITHER","firstName":"CLAUDE","middleName":"EDWIN"},{"crd":"5124720","suffix":null,"lastName":"GALKINA","firstName":"YEKATERINA","middleName":"IVANOVNA"},{"crd":"8193168","suffix":null,"lastName":"Gorasia","firstName":"Avi","middleName":"Darshankumar"},{"crd":"8141462","suffix":null,"lastName":"Harding","firstName":"Ryan","middleName":"Thomas"},{"crd":"8275598","suffix":null,"lastName":"Kouhi","firstName":"Arash","middleName":null},{"crd":"1322586","suffix":null,"lastName":"LINK","firstName":"GLENN","middleName":"CHARLES"},{"crd":"4331455","suffix":null,"lastName":"SALVADOR","firstName":"ELMER","middleName":"BARBA"},{"crd":"5474662","suffix":null,"lastName":"Wright","firstName":"Melissa","middleName":"Lynn"}],"total":16,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-30","regulatoryAum":816826845,"clients":1041,"employees":17,"offices":2},{"filedOn":"2022-03-30","regulatoryAum":993260439,"clients":1008,"employees":18,"offices":2},{"filedOn":"2023-03-30","regulatoryAum":895045757,"clients":1049,"employees":18,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":1078731632,"clients":1056,"employees":18,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":1258603087,"clients":1069,"employees":18,"offices":2},{"filedOn":"2026-03-31","regulatoryAum":1516923776,"clients":1751,"employees":20,"offices":2}],"secFileNumber":"801-58081","legalName":"Compak Asset Management","displayName":"Compak Asset Management","slug":"compak-asset-management-109930","website":"https://compak.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/109930/11aa52a9f5a0dacb-r1.webp","tone":"dark","width":621,"height":200,"sourceUrl":"https://compak.com/","sourceLabel":"Compak Asset Management, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://linkedin.com/company/compak","xUrl":"https://www.twitter.com/investcompak","founded":"1999","organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"1801 Dove Street","city":"Newport Beach","state":"CA","stateName":"California","country":"United States","postalCode":"92660"},"tradeNames":[],"registration":{"secApproved":"6 November 2000","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":859124.3085351788,"staff":{"employees":20,"advisory":14,"brokerDealerReps":13,"insuranceAgents":13,"promoters":1},"aum":{"regulatory":1516923776,"discretionary":1494984036,"discretionaryAccounts":2711,"nonDiscretionary":21939740,"nonDiscretionaryAccounts":228,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":579,"regulatoryAum":142879594},{"label":"High-net-worth individuals","clients":1155,"regulatoryAum":1346841957},{"label":"Pension and profit-sharing plans","clients":4,"regulatoryAum":19972721},{"label":"Corporations and other businesses","clients":13,"regulatoryAum":7229504}],"feePrograms":[{"role":"other","program":"Account Maintenance Fee","summary":"$45 per calendar quarter for each account over $10,000, assessed in advance and waivable at the firm's discretion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034695","versionId":1034695,"submittedOn":"2026-03-31","documentName":"COMPAK ASSET MANAGEMENT FORM ADV PART 2A 3-30-2026"},{"role":"other","program":"Stand-Alone Financial Planning","summary":"A standard stand-alone financial plan for a new client ranges from $3,000 to $7,500; additional hourly work is $300 to $500 an hour, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034695","versionId":1034695,"submittedOn":"2026-03-31","documentName":"COMPAK ASSET MANAGEMENT FORM ADV PART 2A 3-30-2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T04:13:31.452041+00:00","documents":[{"name":"COMPAK ASSET MANAGEMENT FORM ADV PART 2A 3-30-2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034695","versionId":1034695,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":1516923776}],"custodyNote":"Compak Asset Management does not have custody of client assets.","leadership":[{"name":"Moeez Ansari","title":"President","crd":"4053253"},{"name":"Feroz Ansari","title":"CCO / Senior Principal","crd":"2304944"}],"ownership":[{"label":"Moeez Ansari","detail":"President in the 75% or more ownership band and a control person, since December 1999."},{"label":"Feroz Ansari","detail":"Cco / senior principal in the 10% to 25% ownership band and a control person, since March 2005."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"8865 E. Bell Road, #201","city":"Scottsdale"}]},{"state":"California","offices":1,"addresses":[{"street":"1801 Dove Street","city":"Newport Beach","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-388-9700","stateRegisteredReps":14,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions","Other"],"activities":["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 advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":72},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":7},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":8},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":1,"detail":"Structured Notes"}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109930/PDF/109930.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034695","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Compak Asset Management have?","answer":"Compak Asset Management has 1,751 clients and manages $1.52 billion for them, as of March 2026. They include 1,155 high-net-worth individuals, 579 individual clients, and 13 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Compak Asset Management offer?","answer":"Compak Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, educational seminars, education planning, estate planning, and insurance.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Compak Asset Management use?","answer":"Compak Asset Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $1.52B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Compak Asset Management have?","answer":"Compak Asset Management has 14 investment adviser representatives registered with state securities authorities, out of 20 employees, and 14 perform investment advisory functions. 13 employees are registered representatives of a broker-dealer and 13 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Compak Asset Management invest in?","answer":"At the end of its last fiscal year, Compak Asset Management’s separately managed accounts held 72% exchange-traded equities, 8% registered funds (mutual funds, ETFs, BDCs), 7% investment grade corporate bonds, 4% U.S. government and agency bonds, 4% cash and equivalents, 1% non-exchange-traded equities, 1% state and local bonds, 1% high-yield corporate bonds, 1% pooled vehicles (private funds and similar) and 1% other. The 1% other category is described as: Structured Notes.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Compak Asset Management?","answer":"Compak Asset Management’s direct owners are Moeez Ansari (75% or more) and Feroz Ansari (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Compak Asset Management get paid?","answer":"Compak Asset Management is paid through a percentage of assets under management, hourly charges, fixed fees, commissions and other compensation. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Compak Asset Management registered with the SEC?","answer":"Yes, Compak Asset Management has been registered with the SEC as an investment adviser since 6 November 2000. Its CRD number is 109930 and its SEC file number is 801-58081.","source":"Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Compak Asset Management?","answer":"Compak Asset Management’s main office is at 1801 Dove Street, Newport Beach, CA 92660. Its phone number is 800-388-9700. Its website is compak.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}