401(K) Advisors, Inc. (Aliso Viejo)


401(K) Advisors, Inc. is a large advisory firm based in Aliso Viejo. It manages $31.56 billion of regulatory assets for 419 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Alabama, California, Florida, and 10 other states.

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401(K) Advisors provides portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and research reports on 401(k) plans. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

401(K) Advisors: assets under management

The assets under management (AUM) of 401(K) Advisors, Inc. is $31.56 billion. The firm's AUM has grown by 566880% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $555 million in discretionary accounts and $31 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $19.14 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $79.49 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay 401(K) Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at 401(K) Advisors, Inc.

Nicholas Dominic Dellavedova has been acting as President since 1 Mar 2005. Jeffrey S. Elvander has served as the Chief Investment Officer since 1 Jan 2006. Patriot Intermediate Holdings B Corp joined the executive team most recently as the Owner.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Vincent Joseph Giovinazzo Ceo 1 Dec 2002 75% - 100% 1645246
Nicholas Dominic Dellavedova President 1 Mar 2005 Other 2884873
Jami Ann Chapman Cco 1 Jan 2006 Other 4082795
Veronica Diane Paredes Senior vice president 1 Jan 2006 Other 3108984
Jeffrey S. Elvander Chief investment officer 1 Jan 2006 Other 4898447
National Financial Partners Corp. Shareholder 1 Aug 2006 75% - 100% 13-4029115
Joel B. Shapiro Vp erisa compliance 1 Jan 2009 Other 5104448
Brett Ronald Schneider Director 1 Mar 2010 Other 5636953
Jeffrey James Groves Chief compliance officer 1 Feb 2012 Other 2252184

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Patriot Intermediate Holdings B Corp Owner 1 Jul 2013 75% - 100% 46-2704384
Patriot Intermediate Holdings A Corp Owner 1 Jul 2013 75% - 100% 46-2723281
Patriot Investment Holdings Llc Owner 1 Jul 2013 75% - 100% 30-0781325
L.P. Madison Dearborn Capital Partners Vi A Owner 1 Jul 2013 75% - 100% 26-1274415
L.P. Madison Dearborn Partners Vi A&C General partner 1 Jul 2013 Other 26-1267403
Llc Madison Dearborn Partners General partner 1 Jul 2013 Other 157349

Based in Aliso Viejo

The principal office where 401(K) Advisors, Inc. performs its advisory services is located at 120 Vantis, Aliso Viejo, CA 92656, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 949-460-9898 or by fax 949-460-9893. The normal business hours are 8:30am - 4:30pm on Monday - Friday. You can find more information about the New York firm at 401kadvisors.com.