401K INVESTMENT PROFESSIONALS
INVESTMENT PROFESSIONALS, LLC Legal Name
Adviser information for 401K INVESTMENT PROFESSIONALS last updated from Form ADV on January 4th, 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 | Wisconsin, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 101 | $192.0M |
| Non-Discretionary | 6 | $23.0M |
| Total | 107 | $215.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $7.0M |
| HNW Individuals | <5 | $3.0M |
| 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 | 71 | $205.0M |
| 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 | 1500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSELECTION OF OTHER ADVISERS |
Identifiers
| SEC RIA File Number | 801-117105 |
|---|---|
| SEC ERA File Number | 801-117105 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282495 |
| Legal Entity Identifier | None |
Principal Office
114 E. MAIN ST.SUITE 213
WAUNAKEE
WI
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: (608) 334-9367, Fax: (608) 237-2586
Chief Compliance Officer
JASON DONALD MARTY
PRESIDENT
114 E. MAIN ST.
SUITE 213
WAUNAKEE
WI
United States
Tel:
(608) 334-9367
Fax:
(608) 237-2586
J*****@******************************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 |
|---|---|---|---|---|---|
| MARTY, JASON, DONALD | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 04/2010 | > 75% |