401K Investment Professionals is an SEC registered investment adviser organized as a limited liability company with a primary office location in Waunakee, WI. Its latest Form ADV filing, dated March 10, 2026, reports $311M in regulatory assets under management, 4 employees, 1 office, and 137 accounts.
Assets Under Management
$311M
Employees
4
Offices
1 office
Total Clients
137
Primary office
WAUNAKEE, WI
114 E. MAIN ST., SUITE 213, WAUNAKEE, WI, United States
Portfolio management for individuals and small businesses
Fee models offered
4 types reported
Asset based fees
Fixed fees
Hourly charges
Sources checked May 16, 2026
Client Coverage Demographics
Top client segmentPension Plans represent 51.8% of total clients.
Top client categories% of clientsClients
1
Pension Plans
51.8%
71
2
Individuals
46.0%
63
3
HNWI
2.2%
3
Categories with <5 clients
High net worth individuals (HNWI)<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$311Mas of March 10, 2026
Discretionary92.6%
$288M
93% of total RAUM92.6%
Non-discretionary7.4%
$23M
7% of total RAUM7.4%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$311M
Total Accounts137
10Y AUM Change+$195M (+168.1%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees4
Clients per Employee34:1
10Y Employee Change0 (0.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.