DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Fi401k Advisors
Legal name Fi401k Advisors, LLC
Latest filing Jan 30, 2026
First filing on the tape Apr 19, 2016 · 13 filings
SEC status approved since Apr 22, 2016
RAUM
$915M
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$457M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$915M as of Jan 30, 2026
Mar 16, 2017$319M then
HNW client RAUM$0 as of Jan 30, 2026
Mar 21, 2018$0 then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Mar 16, 20171 then
Employees (5.A)2 as of Jan 30, 2026
Mar 16, 20172 then
Private funds: no history
RAUM +7.7% over the last fiscal year+4.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $457MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$915M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 305reported
- Charitable clients
- 0reported
- Accounts
- 305reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Matthew Gutrich | Greenwood Village, Co | Apr 6, 2016 | 34 y | 1 |
| Hannah Marie Gutrich | Centennial, Co | Nov 5, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Mark Matthew Gutrich from Eplan Advisors, LLCApr 6, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Matthew Mark Gutrich · Elected Manager And Chief Compliance Officercontrolsince 06/2013 · owns 25% to 50%
Entity owners
- Fiduciary Holdings Limited · Sole Shareholder/Ownerdirect · owns 75% or more
- Gut-Sec Holdings, LLC · Shareholderindirect · owns 25% to 50% of Fiduciary Holdings Limited
- Gut-Cross Holdings, LLC · Shareholderindirect · owns 25% to 50% of Fiduciary Holdings Limited
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 338 to 305Jan 29, 2025 to Jan 30, 2026
- Pension plan clients · 338 to 305Jan 29, 2025 to Jan 30, 2026
- HQ city · GREENWOOD VILLAGE to CENTENNIALJan 29, 2025 to Jan 30, 2026
- Discretionary RAUM · $602M to $681MJan 29, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $248M to $234MJan 29, 2025 to Jan 30, 2026
- Pension RAUM · $850M to $915MJan 29, 2025 to Jan 30, 2026
- RAUM · $850M to $915MJan 29, 2025 to Jan 30, 2026
- Accounts · 491 to 338Jan 30, 2024 to Jan 29, 2025
- Pension plan clients · 491 to 338Jan 30, 2024 to Jan 29, 2025
- Insurance-licensed employees · 1 to 0Jan 30, 2024 to Jan 29, 2025
- Financial planning clients · 0 to 0Jan 30, 2024 to Jan 29, 2025
- State-registered IARs · 1 to 2Jan 30, 2024 to Jan 29, 2025
- Discretionary RAUM · $529M to $602MJan 30, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $258M to $248MJan 30, 2024 to Jan 29, 2025
- Pension RAUM · $787M to $850MJan 30, 2024 to Jan 29, 2025
- RAUM · $787M to $850MJan 30, 2024 to Jan 29, 2025
- Accounts · 525 to 491Jan 31, 2023 to Jan 30, 2024
- Pension plan clients · 525 to 491Jan 31, 2023 to Jan 30, 2024
- Discretionary RAUM · $506M to $529MJan 31, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $297M to $258MJan 31, 2023 to Jan 30, 2024
- Pension RAUM · $803M to $787MJan 31, 2023 to Jan 30, 2024
- RAUM · $803M to $787MJan 31, 2023 to Jan 30, 2024
- Accounts · 520 to 525Jan 28, 2022 to Jan 31, 2023
- Pension plan clients · 520 to 525Jan 28, 2022 to Jan 31, 2023
- Discretionary RAUM · $585M to $506MJan 28, 2022 to Jan 31, 2023
- Non-discretionary RAUM · $379M to $297MJan 28, 2022 to Jan 31, 2023
- Pension RAUM · $964M to $803MJan 28, 2022 to Jan 31, 2023
- RAUM · $964M to $803MJan 28, 2022 to Jan 31, 2023
- Accounts · 503 to 520Jan 29, 2021 to Jan 28, 2022
- Pension plan clients · 503 to 520Jan 29, 2021 to Jan 28, 2022
- Discretionary RAUM · $484M to $585MJan 29, 2021 to Jan 28, 2022
- Non-discretionary RAUM · $318M to $379MJan 29, 2021 to Jan 28, 2022
- Pension RAUM · $802M to $964MJan 29, 2021 to Jan 28, 2022
- RAUM · $802M to $964MJan 29, 2021 to Jan 28, 2022
- Accounts · 521 to 503Jun 30, 2020 to Jan 29, 2021
- Pension plan clients · 521 to 503Jun 30, 2020 to Jan 29, 2021
- Discretionary RAUM · $417M to $484MJun 30, 2020 to Jan 29, 2021
- Non-discretionary RAUM · $284M to $318MJun 30, 2020 to Jan 29, 2021
- Pension RAUM · $701M to $802MJun 30, 2020 to Jan 29, 2021
- RAUM · $701M to $802MJun 30, 2020 to Jan 29, 2021
Signals
2 dated events
- Fi401K Advisors reported RAUM $504.0M, up 58% from $319.0M (2017-03-16 to 2018-03-21)Mar 21, 2018 · RAUM change · derived
- Fi401K Advisors filed its initial SEC registration (Form ADV)Apr 19, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- FI401K.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-495-5890reportedpublic record, Form ADV, Jan 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $457Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026