401K Investment Professionals
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Overview
401K Investment Professionals is a financial advisory firm that has its headquarters in Waunakee, Wisconsin. The firm administers $193.0 million in total assets over 93 customer accounts, making it a mid-tier firm in the country by assets under management (AUM). 401K Investment Professionals has a small group, including 4 financial advisors. 401K Investment Professionals does not act as a registered broker-dealer, signifying that it is not able to buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer firm to do so. Securities are exchangable financial investments such as stocks, options and bonds.
401K Investment Professionals manages more than half of the firm's client assets in a discretionary manner. Discretionary management is a structure in which buy and sell decisions are made by a portfolio manager without needing to seek client approval. It also manages six non-discretionary accounts totaling $2.0 million in assets under management. The company's average account size is $2.1 million. The typical advisor at 401K Investment Professionals administers about 23 client accounts, placing it among the more individualized advisor firms in the country.
The firm's main office is located at 114 E. Main St., Waunakee, Wisconsin 53597. It is legally permitted to provide services to investors across a few states, including Colorado and Wisconsin.
Assets Under Management
Number of Advisors
Disclosures
Office Location
401K Investment Professionals by the Numbers
$193.0 million
4
93
$2.1 million
Products and Services
Financial services that 401K Investment Professionals provides include financial planning services and portfolio management for individuals and small businesses. However, it did not provide any of its customers with financial planning services in the prior fiscal year. The company does not sell products or offer services apart from investment advisory services to its investment advisory clients. 401K Investment Professionals is also affiliated with one or more other service providers in the financial services industry, including with an insurance company or agency.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Find a firm that offers this service
Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees charged by financial advisors depend on which services are provided. Fee types charged by the company can consist of the following fee types: asset-based, hourly, fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 21% of firms
Hourly
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Offered by 32% of firms
Fixed
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Offered by 10% of firms
Other
Unavailable
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
Types of Clients
The company provides services to retail investors and pension plans. Out of its 93 clients, 401K Investment Professionals's biggest client by number of accounts is pension plans. None of the firm's accounts are non-U.S. persons.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 24.73%
- Corporations - 75.27%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
401K Investment Professionals does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at 401K Investment Professionals
Waunakee, WI
Waunakee, WI
Madison, WI
Waunakee, WI
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