Asset ManagerRIA · CRD 321902SEC-Registered

Updated:

401 Financial

401 Financial is an asset manager with undisclosed AUM, focusing on private equity and real estate investments.

401 Financial

Founded by an undisclosed principal, 401 Financial positions itself as an asset manager serving institutional clients and high-net-worth individuals. The firm's wealth origin remains private, but its name and structure imply a focus on retirement-oriented or long-term capital management. The firm pursues a multi-asset strategy including private equity, real estate, and fixed-income investments. Geographic focus is unclear, but likely US-centric given its name and operational context. Portfolio companies or co-investments are not publicly disclosed. Team size and additional offices are not publicly documented. No adjacent philanthropic or operating vehicles have been identified. Recent operational activity is unverifiable due to sparse public information. The structural differentiator for 401 Financial is the lack of publicly available detail—raising questions about transparency, but consistent with a low-profile manager.

General information

Firm type

Asset Manager

Year founded

AUM

Undisclosed

Location

Region

Country

City

Corporate office

Frequently asked questions

Who runs investment decisions at 401 Financial?

The firm's investment leadership is not publicly named. SEC filings may indicate a principal, but no names are available in public sources (per public record).

What is 401 Financial's investment strategy?

401 Financial focuses on alternative investments, including private equity and real estate. The firm's approach appears to be discretionary, targeting long-term capital growth (per public record).

Is 401 Financial regulated?

Yes, 401 Financial registered with the U.S. Securities and Exchange Commission as an investment adviser in October 2022 (per SEC filings, October 2022).

What is the geographical focus of 401 Financial?

The firm's operations are likely US-based, given its SEC registration and the US-centric name. No non-US offices or investments have been disclosed (per public record).

Does 401 Financial operate as a family office?

No, 401 Financial appears to be a registered investment adviser that operates as an asset manager, not a single or multi-family office (per SEC filings).

Profile maintained by using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.

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