← Tributary

401K INVESTMENT PROFESSIONALS

WAUNAKEE, WI · CRD 282495 · IAPD ↗ · (608) 334-9367

$311.0MRegulatory AUM
4Advisory reps
4Employees
0Clients
More than 500Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

66
March 2025 — 401K INVESTMENT PROFESSIONALS reported RAUM up 45% ($215.0M -> $311.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
January 2025 — 401K INVESTMENT PROFESSIONALS notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
76
February 2024 — 401K INVESTMENT PROFESSIONALS reports More than 500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.