4A
401 K Advisory Group, Inc.
State-registered
Institutional / Pension Advisor · Boutique (under $100M)
CRD 152290
·
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ADV data as of Mar 01, 2024
- Regulatory AUM
- $205K
- Discretionary
- $0
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 1
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pension and profit sharing plans | Fewer than 5 clients | $205K | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Richard Allen Vaughan | Registered representative | Mar 2024 (2y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/01/2024 | 984 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 01, 2024.
View current Form ADV (SEC/IAPD) ↗