402 Financial

Overview

402 Financial is an independent registered investment adviser organized as a limited liability company and owned by an individual. The firm concentrates on delivering financial planning and discretionary portfolio management to individuals, families and small-business clients, and it also offers portfolio management services to businesses or institutions. Fee arrangements include a percentage-of-AUM schedule along with the option for hourly or fixed-fee engagements. Investment activity is centered on publicly traded pooled funds rather than direct security selection or bespoke alternatives. The adviser is not an active ESG investor, does not present itself as a multi-state adviser, and does not operate as a capital allocator or pension consultant. Client relationships are primarily advisory and discretionary in nature, with the firm using established custodial infrastructure to execute and maintain client portfolios.

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Location & Offices