Appleton, WI Waterford Lane Office

ASC 401(k) Management provides advisory services to individual investors and to pension and other employee benefit plans, including 401(k) plans. Its offerings include plan-level pension consulting (investment policy statements, manager selection and monitoring, participant advice), ongoing portfolio management, and tiered financial planning service levels.

The firm creates client-specific Investment Policy Statements and implements long‑term strategies using model portfolios developed with a third‑party asset manager (LSA), while employing methods such as fundamental, quantitative, technical analysis and modern portfolio theory. It manages both discretionary and non‑discretionary accounts and performs periodic reviews and ongoing monitoring of plan money managers and investment options.

Uncommon among independent advisers of this type, ASC maintains a formal pension consulting practice combined with cross‑border and international planning capabilities—executive and concierge service levels describe coordination with foreign tax advisors, Social Security treaties, FBAR/8938 reporting, and international estate planning. The firm also requires use of specific custodians (John Hancock Trust Company LLC or AssetMark) and may receive fee sharing from third‑party advisers, a business practice prospective clients should consider when evaluating potential conflicts of interest.