ASC 401(k) Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$26,756,198
Total clients
132
9% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
132
Average account size
$202,698
About
ASC 401(k) Management provides advisory services to individual investors and to pension and other employee benefit plans, including 401(k) plans. Its offerings include plan-level pension consulting (investment policy statements, manager selection and monitoring, participant advice), ongoing portfolio management, and tiered financial planning service levels.
The firm creates client-specific Investment Policy Statements and implements long‑term strategies using model portfolios developed with a third‑party asset manager (LSA), while employing methods such as fundamental, quantitative, technical analysis and modern portfolio theory. It manages both discretionary and non‑discretionary accounts and performs periodic reviews and ongoing monitoring of plan money managers and investment options.
Uncommon among independent advisers of this type, ASC maintains a formal pension consulting practice combined with cross‑border and international planning capabilities—executive and concierge service levels describe coordination with foreign tax advisors, Social Security treaties, FBAR/8938 reporting, and international estate planning. The firm also requires use of specific custodians (John Hancock Trust Company LLC or AssetMark) and may receive fee sharing from third‑party advisers, a business practice prospective clients should consider when evaluating potential conflicts of interest.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Retirement income strategy
General retirement planning
Social Security optimization
Cross-border / expatriate tax planning
Business sale tax planning
Occupation focus
Founder/Business Owner
Demographic focus
Expats
Intergenerational Families
Fee options
Fixed fees for service levels: Professional $5,000 annually; Executive $10,000 annually; Concierge starting at $25,000 annually; Investment Management Only $4,000 annually (some fixed fees combined with AUM fees).
$500,000 - $2,000,000: 0.75% $2,000,000 - $5,000,000: $2,500 Fixed + 0.55% $5,000,000+: Negotiable $1,000,000 - $2,000,000: 0.70% $2,000,000 - $5,000,000: $5,000 Fixed + 0.50% $5,000,000+: Negotiable Up to $500,000 - $500,000: $4,000 Fixed $500,000 - $2,000,000: $3,000 Fixed + 0.60% $2,000,000+: Negotiable
Hourly fees apply for add-on financial planning projects exceeding scope of standard service levels; specific rates not stated.
Minimum fee: Professional Level: $5,000 annually; Executive Level: $10,000 annually; Concierge Level: starting at $25,000 annually; Investment Management Only: $4,000 annually Fee-only: Firm is fee-only; does not receive any commissions or third-party payments.
Main office location
ASC 401(k) Management
4321 W. College Ave, Suite 200
Appleton WI 54914, United States
Number of offices
1
Most active in
ASC 401(k) Management has reported serving >5 clients in these states in the last 12 months.
Texas · Wisconsin
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.
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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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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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