# ASC 401(K) Management

ASC 401(K) Management is a RIA.

## Overview

- **Organization type:** RIA
- **Region:** North America
- **Assets under management:** Undisclosed

## Regulatory record

- **CRD number:** 220516
- **SEC file number:** 801-96217
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/220516

## About

ASC 401(K) MANAGEMENT is an SEC-registered investment adviser in APPLETON, WI. The firm manages $27 million in assets, $25 million on a discretionary basis. It has 1 employee and 1 investment adviser.

## Sectors

- Retirement Services
- Wealth Management
- Retirement Plan Administration

## Questions

### What types of retirement plans does ASC 401(K) Management administer?

ASC 401(K) Management administers several plan types including Safe Harbor 401(k), SIMPLE IRA, Profit Sharing, and Solo 401(k) plans (public record). The firm also handles plan design, compliance testing, and Form 5500 filings.

### Does ASC 401(K) Management offer fiduciary services?

Yes, the firm provides fiduciary advisory services under ERISA Section 3(21) and 3(38) (public record). This includes investment menu design, monitoring, and documentation support for plan sponsors.

### What investment options does ASC 401(K) Management typically offer?

The firm's investment menus commonly include mutual funds, ETFs, and collective investment trusts (public record). The firm assists plan sponsors with fund selection and monitoring aligned with plan participant demographics.

### Is ASC 401(K) Management a Registered Investment Advisor?

ASC 401(K) Management operates as an RIA (public record), which means it has a fiduciary duty to act in clients' best interests regarding retirement plan advisory services.

### What regulatory compliance support does ASC 401(K) Management provide?

The firm handles nondiscrimination testing, contribution limits tracking, and Form 5500 annual reporting (public record). It also provides employee education and enrollment support to help plan sponsors meet regulatory requirements.

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Last updated: 2026-06-03T20:00:00.000Z

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