401k And More

Overview

401k And More is a small, fee-based registered investment adviser that focuses on portfolio management for individuals and small businesses. The firm charges a percentage-of-AUM fee and operates as a limited liability company owned by an individual. Its investment posture is equity‑tilted: the adviser favors exchange‑traded instruments and manages assets on a discretionary basis. The client base is concentrated and made up of individual and family investors rather than institutional sponsors, and the firm does not present itself as an ESG-driven or multi-state advisory platform. Given its scale and client mix, the firm appears to deliver hands‑on portfolio management rather than a mass-market model. Custody is handled through Interactive Brokers LLC, which supports direct execution of exchange‑traded equities and ETFs and gives access to a wide range of liquid public markets—consistent with the firm’s stated preference for exchange‑traded assets.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices