Fi401 K Advisors, LLC (Greenwood Village)

Name: Fi401 K Advisors, LLC
Address: 6041 South Syracuse Way, Greenwood Village, CO, 80111
Telephone: 303-495-5890

Fi401 K Advisors, LLC is a pension cosultant based in Greenwood Village. It manages $573 million of regulatory assets for 516 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Arizona, California, Colorado, and 21 other states.

Fi401 K Advisors provides pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fi401 K Advisors: assets under management

The assets under management (AUM) of Fi401 K Advisors, LLC is $573 million. The firm's AUM has grown by 184% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $224.15 million in discretionary accounts and $348.85 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $889.48 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.32 million.

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 Fi401 K Advisors, LLC for their services and products based on a percentage of assets under management 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.

What kind of clients Fi401 K Advisors serves?

The only and largest group of clients of Fi401 K Advisors is pension and profit sharing plans with 516 clients and $573 million of assets under management. Among the 10 most similar advisory firms, Fi401 K Advisors has the 2nd highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $573 million for 516 clients. None of the firm’s clients are foreign persons or businesses.

Fi401 K Advisors doesn't advise any private funds.

Careers at Fi401 K Advisors, LLC

The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There are 75 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates 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
Fiduciary Holdings Limited	Sole shareholder/owner	1 Jun 2011	75% - 100%	46-3798379
Mark Matthew Gutrich	Elected manager and chief compliance officer	1 Jun 2013	25% - 50%	2146126

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Gut Sec Holdings	Shareholder	1 Jun 2012	25% - 50%	45-2438928
Llc Gut Cross Holdings	Shareholder	1 Jun 2012	25% - 50%	45-2354630
Expand Financial Systems Llc	Shareholder	1 Jun 2012	25% - 50%	46-3120526

Based in Greenwood Village

The principal office where Fi401 K Advisors, LLC performs its advisory services is located at 6041 South Syracuse Way, Greenwood Village, CO 80111, 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 303-495-5890 or by fax 303-495-5921. The normal business hours are 8am - 5pm on Monday - Friday. You can find more information about the New York firm at fi401k.com.