PRUDENT INVESTOR ADVISORS, LLC
SEC RegisteredYou can't always be right… but you must be prudent!
About the firm
Prudent Investor Advisors shows sponsors of 401(k) plans and other retirement plans how a longstanding, yet little-known, legal mechanism in ERISA allows them to get rid of significant fiduciary responsibilities and liabilities by transferring them to PIA.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Transferring fiduciary responsibilities and liabilities from retirement plan sponsors to PIA via an ERISA legal mechanism; prudent fiduciary process management; investing and managing retirement plans; quarterly market reviews distributed to clients and affiliates; retirement planning educational resources for plan participants.
Who they serve
Sponsors of 401(k) plans and other retirement plans, as well as plan participants.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 153 | $40M |
| High Net Worth Individuals | 26 | $96M |
| Pension/Profit Sharing Plans | 1 | $137M |
| Charitable Organizations | 30 | $616M |
| State/Municipal Entities | 10 | — |
1 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
4 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Individual - Up to $1 million | 0.95% |
| Individual - Between $1-5 million | 0.60% |
| Individual - Over $5 million | 0.00% |
| ERISA - Up to $1 million | 0.75% |
| ERISA - Between $1-10 million | 0.60% |
| ERISA - Between $10-20 million | 0.35% |
| ERISA - Above $20 million | 0.00% |
Data as of March 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. PRUDENT INVESTOR ADVISORS, LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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