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1-800-401K Plan.com, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$13,873,541
Clients
15
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
15
LowAverage account size
$924,903
About
1-800-401K Plan.com, LLC serves individuals as well as business entities, trusts, estates and charitable organizations, providing discretionary and non-discretionary investment advisory services, retirement planning, and financial planning and consulting when requested. The firm is a solo- practitioner registered investment adviser that manages approximately $13.9 million on a limited number of client accounts.
The firm’s retirement plan work uses a quantitatively scored questionnaire and a disciplined interview process to determine a participant’s portfolio style and risk tolerance, and portfolios are typically allocated to mutual funds with occasional individual securities (generally company stock in unitized form). For managed accounts the firm implements a mix of long-term, short-term and trading strategies and uses charting, fundamental and technical analysis while conducting ongoing monitoring and periodic reviews.
Compared with many peers, the brochure discloses significant emphasis on 401(k)/403(b)/457 plan management and consulting and on serving business and organizational clients — services that are less common among independent solo advisers. The firm also notes a significant non‑U.S. client presence and maintains a trade-error policy that reimburses client losses from its errors while reconciling gains and losses through the custodian account, both details that distinguish its operational disclosures from many small advisers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Retirement plans for business owners (SEP, solo 401k)
Fee options
Financial planning and consulting fixed fees generally range from $1,000 to $5,000; $149 one-time fee for 401k/403b/457 plan consulting (no asset management)
Under $99,999 - $99,999: 1.50% $100,000 - $249,999: 1.40% $250,000 - $499,999: 1.30% $500,000 - $999,999: 1.20% $1,000,000 - $1,999,999: 1.00% $2,000,000 - $2,999,999: 0.80% $3,000,000 - $3,999,999: 0.60% $4,000,000 - $4,999,999: 0.40%
$250 per hour for financial planning and consulting services
Fee-only: Negotiable financial planning and consulting fees generally range from $1,000 to $5,000 fixed fee; $250/hour hourly rate; $149 one-time fee for 401k/403b/457 plan consulting without asset management
Main office location
1-800-401K Plan.com, LLC
Pennington NJ, United States
Number of offices
1
Most active in
1-800-401K Plan.com, LLC has reported serving >5 clients in these states in the last 12 months.
New Jersey
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 not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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