{"url":"https://nivawealth.com/firms/investment-professionals-282495","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/282495","regulatoryAum":311000000,"crd":"282495","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2320988","suffix":null,"lastName":"JAKEL","firstName":"BRADFORD","middleName":"JOHN"},{"crd":"4280009","suffix":null,"lastName":"JANSEN","firstName":"LARRY","middleName":"ROBERT"},{"crd":"6277199","suffix":null,"lastName":"MARTY","firstName":"JASON","middleName":"DONALD"},{"crd":"6754375","suffix":null,"lastName":"Pierangeli","firstName":"Robert","middleName":null}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-22","regulatoryAum":200510499,"clients":68,"employees":4,"offices":2},{"filedOn":"2022-01-18","regulatoryAum":227000000,"clients":80,"employees":4,"offices":2},{"filedOn":"2023-03-07","regulatoryAum":193000000,"clients":93,"employees":4,"offices":2},{"filedOn":"2024-01-04","regulatoryAum":215000000,"clients":117,"employees":4,"offices":2},{"filedOn":"2025-02-13","regulatoryAum":311000000,"clients":137,"employees":4,"offices":2},{"filedOn":"2026-03-10","regulatoryAum":311000000,"clients":137,"employees":4,"offices":2}],"secFileNumber":"801-117105","legalName":"Investment Professionals, LLC","displayName":"Investment Professionals","slug":"investment-professionals-282495","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/25000265/","founded":null,"organization":"Wisconsin limited liability company","fiscalYearEnd":"December","headquarters":{"street":"114 E. Main St., Suite 213","city":"Waunakee","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53597"},"tradeNames":["401k Investment Professionals","Investment Professionals"],"registration":{"secApproved":"1 August 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":311000000,"discretionary":288000000,"discretionaryAccounts":136,"nonDiscretionary":23000000,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":63,"regulatoryAum":20000000},{"label":"High-net-worth individuals","clients":3,"fewerThan5":true,"regulatoryAum":3000000},{"label":"Pension and profit-sharing plans","clients":71,"regulatoryAum":288000000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Vanguard Group","shortName":"Vanguard Group","location":"Malvern, PA","smaAssets":164000000}],"custodyNote":"Investment Professionals does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jason Marty","title":"President/Chief Compliance Officer","crd":"6277199"}],"ownership":[{"label":"Jason Marty","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since April 2010."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"114 E. Main St., Suite 213","city":"Waunakee","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"608-334-9367","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1500","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":95}],"privateFunds":0},"sources":{"adv1FilingDate":"10 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/282495/PDF/282495.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Investment Professionals have?","answer":"Investment Professionals has 137 clients and manages $311 million for them, as of March 2026. They include 71 pension and profit-sharing plans, 63 individual clients, and 3 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Investment Professionals offer?","answer":"Investment Professionals provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Investment Professionals use?","answer":"Investment Professionals’ separately managed account assets are held at Vanguard Group (Malvern, PA), with $164M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Investment Professionals have?","answer":"Investment Professionals has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Investment Professionals invest in?","answer":"At the end of its last fiscal year, Investment Professionals’ separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs) and 5% exchange-traded equities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Investment Professionals?","answer":"Investment Professionals’ direct owner is Jason Marty (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Investment Professionals get paid?","answer":"Investment Professionals is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Investment Professionals?","answer":"Investment Professionals’ main office is at 114 E. Main St., Suite 213, Waunakee, WI 53597. Its phone number is 608-334-9367.","source":"Form ADV Part 1A, Item 1.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}