401K INVESTMENT PROFESSIONALS

RIASEC RegisteredEst. 2019

Total AUM

$311M

Discretionary

$288M

93% of AUM

Avg account

$2.3M

Accounts

137

Employees

Advisory reps

Firm details

Headquarters: WAUNAKEE, Wisconsin
CRD number: 282495
Registered since: August 1, 2019
Website: www.401kinvestmentprofessionals.com
Custodians: THE VANGUARD GROUP, INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types: Pension & Profit Sharing Plans92.6%
Individuals6.43%
HNWI0.96%
Services: Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

401k Investment Professionals is an independent registered investment adviser formed as an LLC and SEC-registered in 2019. The firm is owner-operated and serves both individual/family and institutional clients. Its advisory services focus on financial planning and portfolio management for individuals and small businesses, and it also operates as an insurance broker. The firm charges fees on a percentage-of-AUM basis and supplements that with hourly and fixed-fee arrangements, as well as other fee structures. It does not identify as an active ESG investor and is not set up as a multi-state adviser or capital allocator.