NAVIGATE 401K, LLC
Adviser information for NAVIGATE 401K, LLC last updated from Form ADV on March 21st, 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 | Alabama, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 11 | $132.0M |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $132.0M |
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 | 11 | $132.0M |
| 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 | 11 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-119101 |
|---|---|
| SEC ERA File Number | 801-119101 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309466 |
| Legal Entity Identifier | None |
Principal Office
ONE INDEPENDENCE PLAZASUITE 816
BIRMINGHAM
AL
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 205-224-9502, Fax: None
Websites
Chief Compliance Officer
CALEB HOPKINS
MANAGING MEMBER
ONE INDEPENDENCE PLAZA
SUITE 816
BIRMINGHAM
AL
United States
Tel:
(205) 224-9502
C****@***************M
(Full email address available in API data)
Industry Affiliates
| NAVIGATE WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOPKINS, CALEB, RYAN | Individual | – | MANAGING MEMBER / CCO | 07/2020 | 50-75% |
| HUSSAR, CHRISTOPHER, NAGEL | Individual | – | MANAGING MEMBER | 07/2020 | 50-75% |