401(K) Advisors, Inc. (Aliso Viejo)

Name: 401(K) Advisors, Inc.
Address: 120 Vantis, Aliso Viejo, CA, 92656
Telephone: 949-460-9898

401(K) Advisors, Inc. is a large advisory firm based in Aliso Viejo. It manages $31.56 billion of regulatory assets for 419 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Alabama, California, Florida, and 10 other states.

401(K) Advisors provides portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and research reports on 401(k) plans. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

401(K) Advisors: assets under management

The assets under management (AUM) of 401(K) Advisors, Inc. is $31.56 billion. The firm's AUM has grown by 566880% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $555 million in discretionary accounts and $31 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $19.14 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $79.49 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay 401(K) Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at 401(K) Advisors, Inc.

Nicholas Dominic Dellavedova has been acting as President since 1 Mar 2005. Jeffrey S. Elvander has served as the Chief Investment Officer since 1 Jan 2006. Patriot Intermediate Holdings B Corp joined the executive team most recently as the Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Vincent Joseph Giovinazzo	Ceo	1 Dec 2002	75% - 100%	1645246
Nicholas Dominic Dellavedova	President	1 Mar 2005	Other	2884873
Jami Ann Chapman	Cco	1 Jan 2006	Other	4082795
Veronica Diane Paredes	Senior vice president	1 Jan 2006	Other	3108984
Jeffrey S. Elvander	Chief investment officer	1 Jan 2006	Other	4898447
National Financial Partners Corp.	Shareholder	1 Aug 2006	75% - 100%	13-4029115
Joel B. Shapiro	Vp erisa compliance	1 Jan 2009	Other	5104448
Brett Ronald Schneider	Director	1 Mar 2010	Other	5636953
Jeffrey James Groves	Chief compliance officer	1 Feb 2012	Other	2252184

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Patriot Intermediate Holdings B Corp	Owner	1 Jul 2013	75% - 100%	46-2704384
Patriot Intermediate Holdings A Corp	Owner	1 Jul 2013	75% - 100%	46-2723281
Patriot Investment Holdings Llc	Owner	1 Jul 2013	75% - 100%	30-0781325
L.P. Madison Dearborn Capital Partners Vi A	Owner	1 Jul 2013	75% - 100%	26-1274415
L.P. Madison Dearborn Partners Vi A&C	General partner	1 Jul 2013	Other	26-1267403
Llc Madison Dearborn Partners	General partner	1 Jul 2013	Other	157349

Based in Aliso Viejo

The principal office where 401(K) Advisors, Inc. performs its advisory services is located at 120 Vantis, Aliso Viejo, CA 92656, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 949-460-9898 or by fax 949-460-9893. The normal business hours are 8:30am - 4:30pm on Monday - Friday. You can find more information about the New York firm at 401kadvisors.com.