DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

401K MASTERS, LLC

CRD 174735

LAFAYETTE, CA

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:96aa66ed-0d5f-c75c-18d4-26377f8758b2

Data as of Mar 15, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2015 to Mar 15, 2019
6 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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
Regulatory AUM: $6.3MItem 5.F on the latest filing (2019-03-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $6.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 17
Individual clients: 17
High net worth clients: 0
SEC number: 801-80948
CRD: 174735
Filings on the tape: 6
First filed: Jan 30, 2015
Latest filed: Mar 15, 2019
Organised: Limited Liability Company, California

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
GEBHARDT, JAMES, C	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	10/2014	Jan 30, 2015	Mar 15, 2019
GRISHMAN, MATTHEW, DAVID	MANAGING MEMBER	D	yes	10/2014	Jan 30, 2015	Mar 15, 2019

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
2018	Mar 15, 2019	$6.3M	$0	2	2	0	n/a	n/a
2017	Mar 22, 2018	$6.4M	$0	2	2	0	n/a	n/a
2016	Mar 10, 2017	$8.2M	$0	2	2	n/a	n/a	n/a
2015	Mar 4, 2016	$11.2M	$0	2	2	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
2018	$6.3M	$6.4M	-1.1%	$11.2M	-17.6%	2	2	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GEBHARDT GROUP, INC	2	Dec 31, 2018	Feb 25, 2020	LAFAYETTE, CA	Team lift out	RIA to RIA	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GEBHARDT GROUP, INC	2	Aug 2, 2019	Feb 6, 2015	LAFAYETTE, CA	Team lift out	RIA to RIA	66.7%

Relationships

Controls (2)

← GRISHMAN, MATTHEW, DAVIDOwnerMANAGING MEMBER, ownership code D, individual
Jan 30, 2015 to presentfactForm ADV
← GEBHARDT, JAMES, COwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 30, 2015 to presentfactForm ADV

Moved with (2)

→ GEBHARDT GROUP, INCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2018 to Feb 25, 2020factForm ADV
← GEBHARDT GROUP, INCRegistered adviser2 advisors, team lift out, same day
Aug 2, 2019 to Feb 6, 2015factForm ADV

Registered with (2)

← MATTHEW DAVID GRISHMANAdvisorregistration: previous registration
Feb 6, 2015 to Dec 31, 2018factForm ADV
← JAMES C GEBHARDTAdvisorregistration: previous registration
Feb 6, 2015 to Dec 31, 2018factForm ADV

Dated events

Occurred
Jan 30, 2015
First Form ADV filing
401K Masters, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96aa66ed-0d5f-c75c-18d4-26377f8758b2
First observed: Jan 30, 2015
Last observed: Mar 15, 2019 91 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.

401K MASTERS, LLC

CRD 174735

LAFAYETTE, CA

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:96aa66ed-0d5f-c75c-18d4-26377f8758b2

Data as of Mar 15, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GEBHARDT, JAMES, C

MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER

yes

10/2014

Jan 30, 2015

Mar 15, 2019

GRISHMAN, MATTHEW, DAVID

MANAGING MEMBER

yes

10/2014

Jan 30, 2015

Mar 15, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 15, 2019

$6.3M

n/a

2017

Mar 22, 2018

$6.4M

n/a

2016

Mar 10, 2017

$8.2M

n/a

2015

Mar 4, 2016

$11.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$6.3M

$6.4M

-1.1%

$11.2M

-17.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GEBHARDT GROUP, INC

Dec 31, 2018

Feb 25, 2020

LAFAYETTE, CA

Team lift out

RIA to RIA

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GEBHARDT GROUP, INC

Aug 2, 2019

Feb 6, 2015

LAFAYETTE, CA

Team lift out

RIA to RIA

66.7%