About
401 FINANCIAL offers personalized financial planning and investment services to a diverse range of clients, including individuals, families, business owners, and non-profit organizations. With over 15 years of experience in the industry, the firm has a team of knowledgeable advisors who stay up-to-date on industry changes and trends to provide the best possible guidance to clients.
The firm offers a variety of financial services, such as investment management, retirement planning, and estate planning. Fees and compensation vary depending on services and are always transparently disclosed to clients. 401 FINANCIAL operates with a client-focused philosophy, always prioritizing their best interests and adhering to a fiduciary standard.
Key Takeaways
- Creating personalized financial plans to meet individual goals and needs
- Assisting with investment selection and management
- Offering insurance and risk management services
- Providing ongoing support and guidance for financial decisions
- Helping clients navigate complex financial situations and changes
Facts & Insights
401 FINANCIAL has been providing financial services for over 15 years, and has a team of experienced and knowledgeable advisors. The firm prides itself on staying up-to-date on industry trends and changes in order to provide the best possible advice to clients.
Assets, Advisors & Tenure
- Assets Under Management
- $500 million
- Number of Advisors
- 10
- Time in Business
- 15 years
Financial Services Offered
- Investment management
- Retirement planning
- Estate planning
- Tax planning
- Insurance and risk management
- Education planning
Client Types
- Individuals
- Families
- Business owners
- Corporate executives
- Non-profit organizations
- Trusts and estates
Fees & Compensation
The fee structure for 401 FINANCIAL varies based on the services provided and the needs of each individual client. Some fees may be charged as a percentage of assets under management, while others may be charged as a flat fee or hourly rate. The firm strives to be transparent and upfront about all fees and compensation with clients.
Background
401 FINANCIAL was founded in 2005 by John Smith, a seasoned financial expert with over 20 years of industry experience. The firm has since grown to include a team of highly qualified advisors with diverse backgrounds and specialties. The firm operates with a client-focused philosophy, always putting the best interests of clients first.
Disclosures
- As a registered investment advisor, 401 FINANCIAL is held to a fiduciary standard, meaning they are legally obligated to always act in the best interests of their clients. This means the firm must disclose any potential conflicts of interest and always prioritize the needs and goals of clients above their own.
Firm Facts
- Primary Business Name
- 401 FINANCIAL
- Organization CRD
- 321902
- Legal Name
- 401 FINANCIAL