Data / Investment advisers / Wisconsin / 401k Investment Professionals
401k Investment Professionals, Waunakee, WI: $311 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
401k Investment Professionals is an SEC registered investment adviser with its main office in Waunakee, Wisconsin and reports $311 million in regulatory assets under management in its Form ADV filed March 10, 2026. Its clients include pension and profit sharing plans, individuals and high net worth individuals. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch 401k Investment Professionals (CRD number 282495): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- Registration
- SEC registered investment adviser
- CRD number
- 282495
- SEC file number
- 801-117105
- SEC status
- Approved, effective August 1, 2019
- Legal name
- Investment Professionals, LLC
- Main office
- 114 E. Main St. Suite 213, Waunakee, WI 53597
- Phone
- (608) 334-9367
- Website
- Regulatory AUM
- $311,000,000 in the Form ADV filed March 10, 2026
- Discretionary AUM
- $288,000,000
- Non discretionary AUM
- $23,000,000
- Accounts
- 137
- Employees
- 4, of which 4 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, other fees
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 10, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Pension and profit sharing plans | 71 | $288 million |
| Individuals (other than high net worth individuals) | 63 | $20 million |
| High net worth individuals | 3 | $3 million |
Other advisers in Wisconsin
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Fortress Planning Group | Pewaukee | $345.3 million | Not listed | adviserinfo.sec.gov |
| Vestura, LLC | Hobart | $336.7 million | Not listed | adviserinfo.sec.gov |
| Uniplan Investment Counsel, Inc. | Milwaukee | $330.5 million | Not listed | adviserinfo.sec.gov |
| Sentinel Advisory Group, LLC | Middleton | $320.8 million | Not listed | adviserinfo.sec.gov |
| Duell Financial Strategies | Appleton | $319.2 million | Not listed | adviserinfo.sec.gov |
| H. C. Denison Co. | Sheboygan | $310 million | Not listed | adviserinfo.sec.gov |
| Sterling Capital Management Inc | Brookfield | $296.9 million | Not listed | adviserinfo.sec.gov |
| Wisconsin Capital Management, LLC | Madison | $293.6 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Wisconsin
- Advisers with $100 million to $500 million in AUM
- Advisers serving pension and profit sharing plans
- Advisers serving individuals
- 401k Investment Professionals on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.