4
401K Advisory Group, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$205,000
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
401K Advisory Group, Inc. advises pension plan sponsors and the participants in their qualified retirement plans, concentrating on 401(k) plan advice and pension consulting for defined benefit and defined contribution plans. The firm delivers fiduciary guidance to plan sponsors and assists employees with personalized investment decisions and financial-wellness coaching tied to the sponsor’s plan.
The brochure describes a conservative, fundamental-analysis approach that emphasizes mutual funds and exchange-traded funds and tailors recommendations through consultations about each client’s goals and circumstances. It reports $205,000 in assets managed on a non-discretionary basis and states that participant-directed trades are generally executed by the employee rather than initiated by the advisor.
Noteworthy aspects include the firm’s exclusive focus on retirement-plan clients and on pension/profit-sharing arrangements, along with participant-level services such as the WellSpring Financial Wellness Coaching program and engagement of ERISA legal consultants. The firm also discloses that it does not take custody of assets, does not accept sales commissions or act as a broker-dealer, and relies on plan-selected recordkeepers and custodians for custody and reporting.
Client services
Portfolio management
Pension consulting
Expertise
Retirement income strategy
General retirement planning
Wealth management
Occupation focus
Founder/Business Owner
Retired
Fee options
Level Two fee of $3,000
$0 - $250,000: 1.00% $250,001 - $500,000: 0.85% $500,001 - $1,000,000: 0.70% $1,000,001 - $4,000,000: 0.50% $4,000,001 - $8,000,000: 0.25% $8,000,001 - $13,000,000: 0.20%
ERISA Legal Consultant charged at $250 per hour
Minimum fee: Level Two fee: $3,000 plus $250/hour ERISA Legal Consultant Fee-only: As described in Level Two ($3,000 plus $250/hour) and Level Three (tiered basis points) advisory fees
Main office location
401K Advisory Group, Inc.
Sandy Springs GA, United States
Number of offices
1
Most active in
401K Advisory Group, Inc. has reported serving >5 clients in these states in the last 12 months.
Georgia
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.
-
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.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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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