401(K) INVESTMENT ADVISORS, INC.
Legal name: 401(K) INVESTMENT ADVISORS
CRD #116606 SEC #801-67452 AUSTIN, TX 512-344-3000
SEC Registered
Total AUM
$2.8B
Discretionary
$0
Employees
5
Clients
0
Accounts
2
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 27, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALCORTA, ROBYN, GIANNATTASIO | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| ALCORTA, ROBYN, GIANNATTASIO | I | CHEIF EXECUTIVE OFFICER | NA | Control |
| ALCORTA, ROBYN, GIANNATTASIO | I | CHEIF EXECUTIVE OFFICER | NA | Control |
| BARNES, THOMAS, EDWARD | I | VICE PRESIDENT & ASST SECRETARY | NA | |
| BARNES, THOMAS, EDWARD | I | VICE PRESIDENT & ASST SECRETARY | NA | |
| BRAMLETT, GERALD, THOMAS | I | PRESIDENT & CEO | NA | Control |
| BRAMLETT, GERALD, THOMAS | I | PRESIDENT & CEO | NA | Control |
| BRAMLETT, GERALD, THOMAS | I | PRESIDENT & CEO | NA | Control |
| BRAMLETT, GERALD, THOMAS | I | PRESIDENT & CEO | NA | Control |
| BRAMLETT, GERALD, THOMAS | I | PRESIDENT & CEO | NA | Control |
| CASTANEDA, ELENA, MARIA | I | TREASURER | NA | |
| CASTANEDA, ELENA, MARIA | I | TREASURER | NA | |
| CASTANEDA, ELENA, MARIA | I | TREASURER | NA | |
| CASTANEDA, ELENA, MARIA | I | TREASURER | NA | |
| CASTANEDA, ELENA, MARIA | I | TREASURER | NA | |
| CASTANEDA, ELENA, MARIA | I | TREASURER | NA | |
| EBNER, DEBORAH, JOY | I | SR VICE PRESIDENT | NA | Control |
| EBNER, DEBORAH, JOY | I | SR VICE PRESIDENT | NA | Control |
| ELY, GWENDOLYN, MAE | I | ASSISTANT SECRETARY | NA | |
| ELY, GWENDOLYN, MAE | I | ASSISTANT SECRETARY | NA | |
| ELY, GWENDOLYN, MAE | I | ASSISTANT SECRETARY | NA | |
| ELY, GWENDOLYN, MAE | I | ASSISTANT SECRETARY | NA | |
| ELY, GWENDOLYN, MAE | I | ASSISTANT SECRETARY | NA | |
| ELY, GWENDOLYN, MAE | I | ASSISTANT SECRETARY | NA | |
| ELY, GWENDOLYN, MAE | I | ASSISTANT SECRETARY | NA | |
| ERSKINE, LEIGHTON, TODD | I | SR VICE PRESIDENT | NA | Control |
| ERSKINE, LEIGHTON, TODD | I | SR VICE PRESIDENT | NA | Control |
| FIGER, DONALD, KEITH | I | EXECUTIVE VP | NA | Control |
| FIGER, DONALD, KEITH | I | VP/CHIEF INFORMATION OFFICER | NA | Control |
| FIGER, DONALD, KEITH | I | EXECUTIVE VP | NA | Control |
| FIGER, DONALD, KEITH | I | VP/CHIEF INFORMATION OFFICER | NA | Control |
| FIGER, DONALD, KEITH | I | VP/CHIEF INFORMATION OFFICER | NA | Control |
| FIGER, DONALD, KEITH | I | VP/CHIEF INFORMATION OFFICER | NA | Control |
| FIGER, DONALD, KEITH | I | VP/CHIEF INFORMATION OFFICER | NA | Control |
| FIGER, DONALD, KEITH | I | VP/CHIEF INFORMATION OFFICER | NA | Control |
| FIGER, DONALD, KEITH | I | VP/CHIEF INFORMATION OFFICER | NA | Control |
| FRY, JANE, ELLEN | I | ASSISTANT SECRETARY | NA | |
| FRY, JANE, ELLEN | I | ASSISTANT SECRETARY | NA | |
| FRY, JANE, ELLEN | I | ASSISTANT SECRETARY | NA | |
| FRY, JANE, ELLEN | I | ASSISTANT SECRETARY | NA | |
| FRY, JANE, ELLEN | I | ASSISTANT SECRETARY | NA | |
| FRY, JANE, ELLEN | I | ASSISTANT SECRETARY | NA | |
| FRY, JANE, ELLEN | I | ASSISTANT SECRETARY | NA | |
| JANDA, MELISSA, ANNE | I | VICE PRESIDENT & CFO | NA | Control |
| JANDA, MELISSA, ANNE | I | VICE PRESIDENT & CFO | NA | Control |
| KONOP, LYNN, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCOOL, JAMES, DENNIS | I | CEO | NA | Control |
| MCMILLEN, ROBERT, SCOTT | I | SECRETARY | NA | |
| MCMILLEN, ROBERT, SCOTT | I | SECRETARY | NA | |
| MCMILLEN, ROBERT, SCOTT | I | SECRETARY | NA | |
| MCMILLEN, ROBERT, SCOTT | I | SECRETARY | NA | |
| MCMILLEN, ROBERT, SCOTT | I | SECRETARY | NA | |
| MCMILLEN, ROBERT, SCOTT | I | SECRETARY | NA | |
| MCMILLEN, ROBERT, SCOTT | I | SECRETARY | NA | |
| MERCER, LISA, LYNN | I | ASSISTANT SECRETARY | NA | |
| MERCER, LISA, LYNN | I | ASSISTANT SECRETARY | NA | |
| MERCER, LISA, LYNN | I | ASSISTANT SECRETARY | NA | |
| MERCER, LISA, LYNN | I | ASSISTANT SECRETARY | NA | |
| MERCER, LISA, LYNN | I | ASSISTANT SECRETARY | NA | |
| MERCER, LISA, LYNN | I | ASSISTANT SECRETARY | NA | |
| MERCER, LISA, LYNN | I | ASSISTANT SECRETARY | NA | |
| RICH, SANDRA, L | I | ASSISTANT SECRETARY | NA | Control |
| RICH, SANDRA, LYNN | I | ASSISTANT SECRETARY | NA | Control |
| ROBERTSON, KENNETH, RAY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROBERTSON, KENNETH, RAY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROBERTSON, KENNETH, RAY | I | VP/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| ROBERTSON, KENNETH, RAY | I | VP/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| ROBERTSON, KENNETH, RAY | I | VP/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| ROBERTSON, KENNETH, RAY | I | VP/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| ROBERTSON, KENNETH, RAY | I | VP/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| ROBERTSON, KENNETH, RAY | I | VP/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| SODEN, GLENN, WARREN | I | ASSISTANT SECRETARY | NA | |
| SODEN, GLENN, WARREN | I | ASSISTANT SECRETARY | NA | |
| TODRYK, ALAN, ANTHONY | I | VICE PRESIDENT | NA | |
| TODRYK, ALAN, ANTHONY | I | VICE PRESIDENT | NA | |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
| THE 401(K) COMPANIES, INC. | DE | PARENT CORPORATION | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NATIONWIDE FINANCIAL SERVICES, INC. | DE | NFS DISTRIBUTORS, INC. | E | Control |
| NATIONWIDE FINANCIAL SERVICES, INC. | DE | NFS DISTRIBUTORS, INC. | E | Control |
| NFS DISTRIBUTORS, INC. | DE | THE 401(K) COMPANIES, INC. | E | Control |
| NFS DISTRIBUTORS, INC. | DE | THE 401(K) COMPANIES, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | THE 401(K) COMPANIES, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | THE 401(K) COMPANIES, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | THE 401(K) COMPANIES, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | THE 401(K) COMPANIES, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | THE 401(K) COMPANIES, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | THE 401(K) COMPANIES, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | THE 401(K) COMPANIES, INC. | E | Control |
Registrations
Federal
IA
Apr 27, 2007 REGISTERED
Notice Filings (1)
TX
Address
98 SAN JACINTO BLVD.SUITE 1100
AUSTIN, TX 78701
USA
Phone: 512-344-3000