401K GENERATION
Adviser information for 401K GENERATION last updated from Form ADV on March 27th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 34 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 168 | $109.5M |
| Non-Discretionary | 11 | $30.0M |
| Total | 179 | $139.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 63 | $18.8M |
| HNW Individuals | <5 | $30.0M |
| 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 | 78 | $90.7M |
| 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 | Portfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)ERISA 3 (16) SERVICES |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-71606 |
|---|---|
| SEC ERA File Number | 801-71606 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154279 |
| Legal Entity Identifier | None |
Principal Office
237 S WESTMONTE DRIVESUITE 300
ALTAMONTE SPRINGS,
FL
United States
Monday - Friday, 8:00AM-8:00PM
Tel: (407) 636-6689, Fax: (888) 469-2970
Chief Compliance Officer
MARLENE NITSCH
CHIEF COMPLIANCE OFFICER
237 S WESTMONTE DRIVE
SUITE 300
ALTAMONTE SPRINGS,
FL
United States
Tel:
407 636-6833
Fax:
(888) 469-2970
M******@*****************M
(Full email address available in API data)
Regulatory Contact
CHRIS AUSTIN
ARC
237 S WESTMONTE DRIVE
SUITE 300
ALTAMONTE SPRINGS,
FL
United States
Tel:
(407) 636-6231
Fax:
(888) 469-2970
C******@*****************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 |
|---|---|---|---|---|---|
| ROJAS, KELLI, DIANE | Individual | – | PRESIDENT | 01/2012 | 50-75% |
| ROJAS, EDWARD | Individual | – | CEO | 05/2014 | 50-75% |
| Nitsch, Marlene, Jarrett | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2018 | < 5% |
| kincaid, brenda, dawn | Individual | – | CHIEF OPERATING OFFICER | 07/2020 | < 5% |