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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM nonesuccession filed

MJM401K, LLC

CRD 133701

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8fbb4dc0-2120-2727-1ef3-e1be32362dea

Data as of Apr 28, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 1
Observed: Mar 27, 2012 to Apr 28, 2021
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Mjm401k, LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 8
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office
SEC number: 801-66591
CRD: 133701
Filings on the tape: 19
First filed: Mar 27, 2012
Latest filed: Apr 28, 2021
Succeeded: a predecessor named on Item 4
Organised: Limited Liability Company, Arizona

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Malone, Ann	MANAGING MEMBER	D	yes	07/1997	Mar 10, 2020	Apr 28, 2021
MALONE, MICHAEL, JOHN	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	07/1997	Mar 27, 2012	Apr 28, 2021

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CULVER CITY	CA	United States	1	no
Pasadena	CA	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 10, 2021	n/a	n/a	8	5	2	n/a	n/a
2019	Mar 10, 2020	n/a	n/a	8	5	2	n/a	n/a
2018	Mar 26, 2019	n/a	n/a	9	7	2	n/a	n/a
2017	Mar 27, 2018	n/a	n/a	10	8	2	n/a	n/a
2016	Mar 22, 2017	$417M	$417M	9	7	n/a	n/a	n/a
2015	Mar 2, 2016	n/a	n/a	8	7	n/a	n/a	n/a
2014	Mar 26, 2015	$385M	$385M	8	7	n/a	n/a	n/a
2013	Mar 28, 2014	$268M	$268M	7	6	n/a	n/a	n/a
2012	Mar 27, 2013	$207M	$207M	7	6	n/a	n/a	n/a
2011	Mar 27, 2012	$2.3B	$223M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	n/a	n/a	n/a	n/a	n/a	8	8	2	2

Relationships

Controls (2)

← MALONE, MICHAEL, JOHNOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 27, 2012 to presentfactForm ADV
← Malone, AnnOwnerMANAGING MEMBER, ownership code D, individual
Mar 10, 2020 to presentfactForm ADV

Affiliated with (1)

← TARGET DATE ANALYTICS LLCRegistered adviserother investment adviser
factForm ADV

Registered with (3)

← ARLIE WILSON GREENAdvisorregistration: previous registration
Jan 12, 2018 to Dec 14, 2021factForm ADV
← Irving Monroe IsaacsonAdvisorregistration: previous registration
Apr 3, 2008 to Dec 14, 2021factForm ADV
← MICHAEL JOHN MALONEAdvisorregistration: previous registration
Jan 1, 2006 to Dec 31, 2006factForm ADV

Dated events

Occurred
Mar 10, 2020
Control person joined
Ann Malone (Managing Member) appeared on Schedule A of Mjm401K, Llc
Form ADVobserved 6 days ago
Occurred
Feb 25, 2020
Succession filed (Item 4)
Mjm401K, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8fbb4dc0-2120-2727-1ef3-e1be32362dea
First observed: Mar 27, 2012
Last observed: Apr 28, 2021 65 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MJM401K, LLC

CRD 133701

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8fbb4dc0-2120-2727-1ef3-e1be32362dea

Data as of Apr 28, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Malone, Ann

MANAGING MEMBER

yes

07/1997

Mar 10, 2020

Apr 28, 2021

MALONE, MICHAEL, JOHN

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

07/1997

Mar 27, 2012

Apr 28, 2021

City

State

Country

Employees

Also broker-dealer

CULVER CITY

United States

Pasadena

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 10, 2021

n/a

2019

Mar 10, 2020

n/a

2018

Mar 26, 2019

n/a

2017

Mar 27, 2018

n/a

2016

Mar 22, 2017

$417M

n/a

2015

Mar 2, 2016

n/a

2014

Mar 26, 2015

$385M

n/a

2013

Mar 28, 2014

$268M

n/a

2012

Mar 27, 2013

$207M

n/a

2011

Mar 27, 2012

$2.3B

$223M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

n/a