# 401 Financial

401 Financial is an Asset Manager.

## Overview

- **Organization type:** Asset Manager
- **Assets under management:** Undisclosed
- **Website:** https://401financial.co
- **LinkedIn:** https://www.linkedin.com/company/401financial

## Regulatory record

- **CRD number:** 321902
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/321902

## About

401 Financial is the next generation of financial planning—equitable, representative, and purposeful. The firm empowers people to align money and life, achieving financial freedom on their terms through a people-first approach called Financial Alignment. It offers flexible solutions with no minimums and focuses on making financial planning and education accessible to the underserved and underrepresented.

## People

- Tyrone V. Ross Jr. — President & Founder
- Erik Smith — Chief Investment Officer
- Amber McLeod — Chief Operations Officer

## Questions

### 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).

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Last updated: 2026-08-11T15:05:57.154Z

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