AdvisorCensus / Financial advisors / Florida / Orlando / 401K Generation
401K Generation is an SEC-registered investment advisory firm in Altamonte Springs,, FL, registered since 2010, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.
Quick answers
From the filingHow is 401K Generation compensated?
On its Form ADV (Item 5.E, October 2026), 401K Generation reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
Where is 401K Generation located?
401K Generation's principal office is in Altamonte Springs,, FL, according to its Form ADV.
Is 401K Generation registered with the SEC or a state?
401K Generation is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 154279.
How much does 401K Generation manage?
401K Generation reports $156,446,290 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (55% discretionary).
How have 401K Generation's assets and staff changed since 2021?
In the Form ADV data for 401K Generation: Regulatory assets under management: $241,786,616 in the October 2021 data and $156,446,290 in the October 2026 data, down 35%. Total employees: 34 in October 2021 and 35 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does 401K Generation serve?
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (90); individuals (other than high net worth individuals) (63); high net worth individuals (5).
Which custodians does 401K Generation use?
401K Generation's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists American TCS and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets.
Does 401K Generation report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/154279
Does 401K Generation state an account minimum?
Its Form ADV Part 2A brochure dated March 24, 2026 says: "There is no plan size minimum." "We have not established a minimum value of assets to establish a relationship with a client."
What changed in 401K Generation's recent Form ADV filings?
In the April 2026 filing data: Registered or notice-filed in AK, AR, ND, NE, NH.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: None
The brochure's wording
There is no plan size minimum.
We have not established a minimum value of assets to establish a relationship with a client.
As stated in the firm's Form ADV Part 2A brochure dated March 24, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$156,446,290 as of October 2026, filing dated March 24, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
Registration and firm details
Items 1, 2, 5- Also doing business as
- WINTER PARK WEALTH MANAGEMENT
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2010 (16 years)
- Employees
- Total: 35. Performing investment advisory functions: 6.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
48 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $156,446,290 | 35 | March 24, 2026 |
| October 2025 | $172,885,459 | 39 | March 25, 2025 |
| October 2024 | $139,485,277 | 34 | March 27, 2024 |
| October 2023 | $130,583,157 | 35 | March 28, 2023 |
| October 2022 | $142,979,202 | 34 | March 25, 2022 |
| October 2021 | $241,786,616 | 34 | April 7, 2021 |
Regulatory assets under management: $241,786,616 in the October 2021 data and $156,446,290 in the October 2026 data, down 35%.
Total employees: 34 in October 2021 and 35 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Registered or notice-filed in AK, AR, ND, NE, NH.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. 401K Generation (CRD 154279): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/401k-generation-altamonte-springs-fl-154279