FI401K ADVISORS
FI401K ADVISORS, LLC Legal Name
Adviser information for FI401K ADVISORS last updated from Form ADV on January 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 90 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 295 | $528.5M |
| Non-Discretionary | 196 | $258.4M |
| Total | 491 | $786.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 491 | $786.9M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-107736 |
|---|---|
| SEC ERA File Number | 801-107736 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168408 |
| Legal Entity Identifier | None |
Principal Office
6041 SOUTH SYRACUSE WAYSTE 200
GREENWOOD VILLAGE
CO
United States
Monday - Friday, 8AM - 5PM
Tel: 303-495-5890, Fax: 303-495-5921
Websites
Chief Compliance Officer
MARK M GUTRICH
MANAGER
6041 S SYRACUSE WAY
STE 200
GREENWOOD VILLAGE
CO
United States
Tel:
3034955890
Fax:
3034955921
M*@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIDUCIARY HOLDINGS LIMITED | Domestic Entity | – | SOLE SHAREHOLDER/OWNER | 06/2011 | > 75% |
| GUTRICH, MARK, MATTHEW | Individual | – | ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER | 06/2013 | 25-50% |
| GUT-SEC HOLDINGS, LLC | Domestic Entity | FIDUCIARY HOLDINGS LIMITED | SHAREHOLDER | 06/2012 | 25-50% |
| GUT-CROSS HOLDINGS, LLC | Domestic Entity | FIDUCIARY HOLDINGS LIMITED | SHAREHOLDER | 06/2012 | 25-50% |