Arsenal 401K Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
10
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
10
Average account size
$0
About
Arsenal Financial Group LLC operates under the trade names Arsenal 401K Advisors and Arsenal Wealth Advisors and primarily serves corporate plan sponsors with retirement plan consulting and plan‑management services while also offering financial planning to individual clients. Plan services include due diligence on investment managers and service providers, investment policy statement development, trustee education, participant workshops and model portfolio generation for plan participants.
For retirement-plan engagements the firm conducts manager due diligence and may act as either a non‑discretionary ERISA §3(21) adviser or a discretionary ERISA §3(38) fiduciary, recommending and overseeing third‑party investment managers and performing periodic reviews and substitution or watch‑list recommendations. For individual clients, Arsenal Wealth Advisors provides tailored financial planning and typically places individual portfolio implementation with recommended third‑party advisers through co‑adviser or solicitor arrangements rather than providing in‑house portfolio management.
Noteworthy disclosures in the brochure include that the firm’s principal maintains registration as a broker‑dealer representative and holds professional credentials as a CPA and insurance licensee (while the brochure states the CPA does not have an active role with an accounting firm). The firm also highlights participant education and pension consulting services, reports no assets under management, and discloses fee‑sharing and co‑adviser arrangements with third‑party managers as potential conflicts the firm manages.
Client services
Financial planning
Pension consulting
Selection of other advisers
Educational seminars or workshops
Expertise
Retirement plans for business owners (SEP, solo 401k)
Retirement income strategy
Occupation focus
Founder/Business Owner
Fee options
Fixed fees for consulting and plan management services ranging from $2,000 to $25,000 per year; fixed fees for financial planning from $500 to $2,500
$0+: 0.40% to 1.90% annually (third-party investment management program fees range) $0+: 0.20% to 1.25% annually (portion of advisory fee received by Arsenal 401K Advisors)
Up to $200 per hour for financial planning services
Minimum fee: Fixed fees typically ranging from $2,000 up to $25,000 per year for Arsenal 401K Advisors consulting and plan management services Fee-only: Fixed fees for financial planning services from $500 to $2,500; hourly fees up to $200/hour
Most active in
Arsenal 401K Advisors has reported serving >5 clients in these states in the last 12 months.
South Carolina · Virginia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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