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401K GENERATION
CRD 154279File 801-71606
APPROVED
Retail clients
Custody
Filing as of Mar 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$156.4M
Bottom 25% of cohort (national)
Discretionary AUM
$85.3M
Non-discretionary $71.2M
Clients
158
161 accounts
Employees
35
Bottom 25% of cohort in FL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- MIRO
- Registration date
- Jun 25, 2010
- Principal office
- 237 S WESTMONTE DRIVE, SUITE 300, ALTAMONTE SPRINGS,, FL, 32714
- Phone
- (866) 998-5879
- Website
- HTTPS://www.401kdocs.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $156.4M
- Discretionary AUM
- $85.3M
- Non-discretionary AUM
- $71.2M
- Discretionary accounts
- 153
- Non-discretionary accounts
- 8
- Total accounts
- 161
- AUM per client
- $990K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $3.9M |
| High net worth individuals | 5 | $71.2M |
| Pension and profit sharing plans | 90 | $32.8M |
| Individuals (other than high net worth individuals) | 63 | $48.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 39 | 35 | decreased by4 |
| Apr 1, 2026 | Clients | 141 | 158 | increased by17 |
| Apr 1, 2026 | AUM | $172,885,459 | $156,446,290 | decreased by$16,439,169 |
| Apr 1, 2026 | Accounts | 149 | 161 | increased by12 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 34 | 39 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 221 | 141 | decreased by80 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $142,979,202 | $172,885,459 | increased by$29,906,257 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 225 | 149 | decreased by76 |
| Apr 1, 2022 | Clients | 230 | 221 | decreased by9 |
| Apr 1, 2022 | AUM | $241,786,616 | $142,979,202 | decreased by$98,807,414 |
| Apr 1, 2022 | Accounts | 231 | 225 | decreased by6 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “401K GENERATION” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“401K GENERATION” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.