1-800-401K Plan.com, LLC

1-800-401K Plan.com, LLC serves individuals as well as business entities, trusts, estates and charitable organizations, providing discretionary and non-discretionary investment advisory services, retirement planning, and financial planning and consulting when requested. The firm is a solo- practitioner registered investment adviser that manages approximately $13.9 million on a limited number of client accounts.

The firm’s retirement plan work uses a quantitatively scored questionnaire and a disciplined interview process to determine a participant’s portfolio style and risk tolerance, and portfolios are typically allocated to mutual funds with occasional individual securities (generally company stock in unitized form). For managed accounts the firm implements a mix of long-term, short-term and trading strategies and uses charting, fundamental and technical analysis while conducting ongoing monitoring and periodic reviews.

Compared with many peers, the brochure discloses significant emphasis on 401(k)/403(b)/457 plan management and consulting and on serving business and organizational clients — services that are less common among independent solo advisers. The firm also notes a significant non‑U.S. client presence and maintains a trade-error policy that reimburses client losses from its errors while reconciling gains and losses through the custodian account, both details that distinguish its operational disclosures from many small advisers.