SourcingSourcing

INVESTMENT PROFESSIONALS, LLC

C26
CRD 282495·SEC 801-117105·WAUNAKEE, WI
AUM
$311.0M
$100M-$500M
Est. Revenue
$3.1M
@ 1% on AUM
Est. EBITDA
$933K
@ 30% margin
Est. Deal Value
$7.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
INVESTMENT PROFESSIONALS, LLC
CRD
282495
SEC file #
801-117105
EIN
010769632
DBA names
401k Investment Professionals

Economics

AUM
$311.0M
AUM band
$100M-$500M
AUM trajectory
'20'26
$116.0M → $311.0M▲ +168%
Client mix
Pension Profit Sharing Plans71
Individuals Other63
Individuals High Net Worth3

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
WAUNAKEE WI
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
03/10/2026
ADV-W filed at
—
Website
facebook/401kinvestmentprofessionals.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MARTY, JASON, DONALD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
MARTY, JASON, DONALD
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
120,837
Form 5500 Compensation Trajectory 3y
202574,397
202646,440
Form 5500 Plan Count Trajectory 3y
20251
20261
Schedule C Total Compensation
120,837
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0001297154
Edgar Registered
Yes
Edgar Filing Count
5
Edgar First Filing Date
2004-07-12
Edgar Last Filing Date
2011-12-27
Edgar Form D Count
3
Edgar Form D Offerings
2011-12-272011-12-27 · 0001095449-11-000131
2010-10-082010-10-08 · 0001095449-10-000123
Edgar Former Names
GREYHAWK PARTNERS FUND LP

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4501
Soi Zip Pct 200k Plus
0.1968
Soi Zip Returns 200k Plus
2090
Soi Zip Total AGI
1,599,311
Fdic Zip Total Deposits
8,631,799,000
Fdic Zip Branch Count
204
Fdic Zip Top Banks
State Bank of Cross Plains
U.S. Bank National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (23)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
8840 BLOOMFIELD BLVD.SARASOTA, FL 34238
Business
8840 BLOOMFIELD BLVD.SARASOTA, FL 34238
Edgar EIN
010769632
Edgar Recent Filings
D/A2011-12-27 · 0001095449-11-000131
D/A2010-10-08 · 0001095449-10-000123
Fdic Zip Branches Raw
Bank of WaunakeeWaunakee, WI
First Federal Savings Bank La Crosse - MadisonWaunakee, WI
Fdic Zip HHI
1299.58
Fdic Zip Top Bank Share Pct
28.11
Fdic Zip Year
2025
Fee Schedule
Bracket Ix95
Bracket I5
Bracket Ii0
Bracket Iii0
Bracket Iv0
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI23,258
Returns2,110
Stub 2
AGI57,625
Returns1,520
Stub 3
AGI76,193
Returns1,230
Soi Zip Total Business Income
39,455
Soi Zip Total Cap Gains
97,789
Soi Zip Total Dividends
37,897
Soi Zip Total Returns
10,620
Top Owner CRD
6277199
Trust Company Affiliate
No

People (4)

4
MARTY, JASON, DONALD
IAR · Direct Owner · 87.5%
6277199
BRADFORD JOHN JAKEL
IAR
2320988
Robert Pierangeli
IAR
6754375
LARRY ROBERT JANSEN
IAR
4280009