TrueAdvisor
TrueAdvisor
JB
JB

John William Baffa

Compak Asset Management
41 Years of Experience
2 DisclosuresBroker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement Planning
Compak Asset Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
14 advisors
Number of Clients
1,069 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$1.3B

Fee Structure

Minimum Investment:$150K
Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K2.00%
$500K - $1.0M1.50%
$1.0M - $2.5M1.00%
$2.5M - $5.0M0.75%
$5M+0.60%

Fees are negotiable, and all clients do not pay the same fee rates.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—

Location

1801 Dove Street, Newport Beach, CA, 92660

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
February 2019
Final
Financial
December 2017
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is registered as an investment advisor for Compak Asset Management and as a registered representative for Compak Securities, Inc.

Employment History
Current Registrations
Compak Securities, INC.Broker
November 2003 - Present · 22 yrs 3 mos
Compak Asset Management
March 2001 - Present · 24 yrs 11 mos
Previous Registrations
Triad Advisors, INC.Broker
February 2001 - April 2002 · 1 yr 2 mos
Pim Financial Services, INC.Broker
December 1998 - October 1999 · 10 mos
Nylife Distributors INC.Broker
January 1994 - October 1998 · 4 yrs 9 mos
Smith Barney Shearson INC.Broker
October 1984 - August 1993 · 8 yrs 10 mos
First Investors CorporationBroker
August 1982 - November 1984 · 2 yrs 3 mos
State Registrations12 states
AZCACOHIIDILMDNVOHORTXWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.