401 K Generation
- Regulatory AUM
- $156M
- Discretionary
- $85.3M
- Clients
- 158
- Avg AUM / client
- $990K
- Accounts
- 161
- Employees
- 35
AUM over time
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 63 | $48.6M | 31.0% |
| High net worth individuals | 5 | $71.2M | 45.5% |
| Pension and profit sharing plans | 90 | $32.8M | 21.0% |
| Corporations and other businesses | Fewer than 5 clients | $3.9M | 2.49% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Paychex Pooled Employer 401(k) Plan Paychex Retirement Llc | 2024 | |
| Springs Food Service Llc 401(k) Profit Sharing Plan & Trust Springs Food Service Llc | 2024 | |
| Palmas Services Llc 401(k) Profit Sharing Plan & Trust Palmas Services Llc | 2024 | |
| Belle Chasse Academy Inc. 401 K Plan Belle Chasse Academy Inc. | 2024 | |
| Aztec Landscaping Inc 401(k) Profit Sharing Plan & Trust Aztec Landscaping Inc | 2024 | |
| Nw Natural Water Company Llc 401(k) Profit Sharing Plan & Trust Nw Natural Water Company Llc | 2024 | |
| Associated Retina Consultants 401(k) Profit Sharing Plan & Trust Associated Retina Consultants | Phoenix, AZ | 2021 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kelli Diane Rojas | President | Jan 2012 (15y) | 50% – 75% | |
| Edward Rojas | Ceo | Feb 2014 (12y) | 50% – 75% | |
| Marlene Jarrett Nitsch | Chief Compliance Officer | Feb 2018 (9y) | Less than 5% | |
| Kincaid, Brenda, Dawn | Chief Operating Officer | Jul 2020 (6y) | Less than 5% | |
| Gyasi Marshall | Registered representative | Mar 2017 (9y) | ||
| Eric Stauffer | Registered representative | Mar 2017 (9y) | ||
| Dyllan Brent Mastrodicasa | Registered representative | Oct 2022 (4y) |
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.
Retirement plans served (7)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Paychex Pooled Employer 401(k) Plan | Paychex Retirement Llc | 621,703 | $1.8B | 01/01/2024 |
| Springs Food Service Llc 401(k) Profit Sharing Plan & Trust | Springs Food Service Llc | 118 | $1.2M | 01/01/2024 |
| Palmas Services Llc 401(k) Profit Sharing Plan & Trust | Palmas Services Llc | 261 | $4.9M | 01/01/2024 |
| Belle Chasse Academy Inc. 401 K Plan | Belle Chasse Academy Inc. | 208 | $8.6M | 01/01/2024 |
| Aztec Landscaping Inc 401(k) Profit Sharing Plan & Trust | Aztec Landscaping Inc | 407 | $1.0M | 01/01/2024 |
| Nw Natural Water Company Llc 401(k) Profit Sharing Plan & Trust | Nw Natural Water Company Llc | 174 | $3.4M | 01/01/2024 |
| Associated Retina Consultants 401(k) Profit Sharing Plan & Trust | Associated Retina Consultants | 86 | $10.3M | 01/01/2021 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 1 MB | 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
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Mid Atlantic Capital Corporation $172M (71% of AUM) Apr 2021
- Mid Atlantic Trust Company $92.5M (71% of AUM) Nov 2023
- Charles Schwab & Co. $71.2M (45% of AUM) Mar 2026
- American Trust Custody $32.3M (21% of AUM) Mar 2026
- SEI Private Trust $7.7M (7% of AUM) Sep 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗