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401K GENERATION
401K GENERATION (CRD# 154279) is an SEC-Registered Investment Advisor (RIA), headquartered in Lake Mary, FL. The SEC approved the firm to operate as an RIA in Jun 2010. In Jun 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $25.0 Million, and has discretion over 32% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
401K GENERATION also reported in Jun 2018:
  • 16 employees, with 11 performing advisory functions.
  • One office location.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
401K GENERATION has no disclosure events reported to the SEC at this time.
 

View 401K GENERATION's most recent Form ADV filing
 


401K GENERATION has Notice Filings with the following State Securities Authorities: AL-Dec 2017, AZ-Jun 2017, CA-Mar 2014, CO-Jun 2017, CT-Oct 2014 , FL-Jun 2010, GA-Nov 2010, IL-Sep 2012, KS-Jun 2017, KY-Jun 2018 , LA-Apr 2012, MA-Oct 2014, MD-Sep 2012, MN-Feb 2013, MS-Apr 2016 , NC-Jan 2017, NJ-Dec 2016, NV-May 2017, NY-Jun 2013, OH-Feb 2013 , OK-Jun 2018, OR-Dec 2017, PA-Mar 2014, RI-Jun 2018, SC-May 2017 , TN-Jun 2017, TX-Mar 2012, VA-Sep 2016, VT-Dec 2017, WA-Jul 2016 , WI-Feb 2013

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.