ASC 401(K) Management

RIAState Registered

Total AUM

$26.8M

Discretionary

$25.2M

94% of AUM

Avg account

$203K

Accounts

132

Employees

Advisory reps

Firm details

Headquarters: Appleton, Wisconsin
CRD number: 220516
Registered since: May 1, 2015
Website: asc401k.com
Custodians: JOHN HANCOCK DISTRIBUTORS LLC, ASSETMARK TRUST CO.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types: Individuals71.1%
HNWI28.9%
Services: Portfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

ASC 401(K) Management is an independent, Wisconsin‑registered limited liability advisory firm run by an individual owner and focused on individuals and family clients. The firm provides discretionary portfolio management for individuals and small businesses, pension consulting services, and the selection of other advisers for clients who need outsourced manager or product decisions. Fee arrangements are flexible and include percentage‑of‑AUM billing alongside hourly, fixed‑fee, and other fee options. ASC 401(K) Management identifies itself as a capital allocator and does not position as an active ESG investor; it operates on a single‑state basis out of Wisconsin.