# 401K Investment Professionals

> 401K Investment Professionals is an SEC-registered investment advisory firm in Waunakee, WI, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 10, 2026.

- CRD: 282495
- Filed as: 401K INVESTMENT PROFESSIONALS
- Legal name: Investment Professionals, LLC
- Also doing business as: 401K INVESTMENT PROFESSIONALS, INVESTMENT PROFESSIONALS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Waunakee, WI
- Filing period: October 2026
- Form ADV filing dated: March 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/282495
- AdvisorCensus page: https://advisorcensus.com/firm/401k-investment-professionals-waunakee-wi-282495

## Quick answers

**How is 401K Investment Professionals compensated?**
On its Form ADV (Item 5.E, October 2026), 401K Investment Professionals reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other.

**How much does 401K Investment Professionals charge?**
Its Form ADV Part 2A brochure dated March 10, 2026 states: Hourly rate: $250 an hour (Financial Planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is 401K Investment Professionals located?**
401K Investment Professionals' principal office is in Waunakee, WI, according to its Form ADV.

**Is 401K Investment Professionals registered with the SEC or a state?**
401K Investment Professionals is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 282495.

**How much does 401K Investment Professionals manage?**
401K Investment Professionals reports $311,000,000 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (93% discretionary).

**How have 401K Investment Professionals' assets and staff changed since 2021?**
In the Form ADV data for 401K Investment Professionals: Regulatory assets under management: $200,510,499 in the October 2021 data and $311,000,000 in the October 2026 data, up 55%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does 401K Investment Professionals 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) (71); individuals (other than high net worth individuals) (63); high net worth individuals (3).

**Which custodians does 401K Investment Professionals use?**
401K Investment Professionals' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Vanguard Group as a custodian holding 10% or more of its separately managed account assets.

**Does 401K Investment Professionals 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/282495

**Does 401K Investment Professionals state an account minimum?**
Its Form ADV Part 2A brochure dated March 10, 2026 says: "There is an account minimum of $5,000, which may be waived by IPL in its discretion."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other

### Fees and minimums (Form ADV Part 2A brochure dated March 10, 2026)

- Account minimum: $5,000 (the brochure says it may be waived or negotiated)

> There is an account minimum of $5,000, which may be waived by IPL in its discretion.

- Hourly rate: $250 an hour (Financial Planning services)

> The hourly fee for these services is $250. The fees are negotiable, and the final fee schedule will be attached as Exhibit II of the Financial Planning Agreement.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Vanguard Group

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.

### Regulatory assets under management (Item 5.F)
- Total: $311,000,000
- Discretionary: $288,000,000
- Non-discretionary: $23,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 63 | $20,000,000 |
| High net worth individuals | 3 | $3,000,000 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 71 | $288,000,000 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2019 (7 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, WA, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- facebook/401KINVESTMENTPROFESSIONALS.COM
- LinkedIn @25000265

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $200,510,499 | 4 | March 22, 2021 |
| October 2022 | $227,000,000 | 4 | January 18, 2022 |
| October 2023 | $193,000,000 | 4 | March 7, 2023 |
| October 2024 | $215,000,000 | 4 | January 4, 2024 |
| October 2025 | $311,000,000 | 4 | February 13, 2025 |
| October 2026 | $311,000,000 | 4 | March 10, 2026 |

Regulatory assets under management: $200,510,499 in the October 2021 data and $311,000,000 in the October 2026 data, up 55%.
Total employees: 4 in October 2021 and 4 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. 401K Investment Professionals (CRD 282495): Form ADV filing data as of October 2026.