401 K Masters, LLC (Lafayette)

Name: 401 K Masters, LLC
Address: 3470 Mt. Diablo Boulevard, Lafayette, CA, 94549
Telephone: 855-401-5238

401 K Masters, LLC is a related adviser based in Lafayette. It manages $6.29 million of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2015.

401 K Masters provides portfolio management for individuals and small businesses. 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 Masters: assets under management

The assets under management (AUM) of 401 K Masters, LLC is $6.29 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in investment and business development companies the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay 401 K Masters, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients 401 K Masters serves?

The only and largest group of clients of 401 K Masters is individuals with 17 clients and $6.29 million of assets under management. Among the 3 most similar advisory firms, 401 K Masters has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $6.29 million for 17 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

401 K Masters doesn't advise any private funds.

Careers at 401 K Masters, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James C Gebhardt	Managing member and chief compliance officer	1 Oct 2014	50% - 75%	2737003
Matthew David Grishman	Managing member	1 Oct 2014	50% - 75%	2733954

Based in Lafayette

The principal office where 401 K Masters, LLC performs its advisory services is located at 3470 Mt. Diablo Boulevard, Lafayette, CA 94549, 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 855-401-5238 or by fax 925-283-9155. The normal business hours are 8:00am - 4:00pm on Monday - Friday. You can find more information about the New York firm at 401kmasters.com.