B
Bauer Financial Services, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$21,168,955
Clients
67
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
67
Very HighAverage account size
$315,955
About
Bauer Financial Services, Inc. is an independent registered investment adviser that provides portfolio management and advisory services to individual clients. The firm manages roughly $21 million in client assets for a small client base of about 67 accounts, operating as a single-advisor practice.
The firm's brochure describes ongoing portfolio management and periodic account reviews (see Items 8 and 13), and it notes the use of a percentage-of-AUM billing arrangement common to many independent advisers. The disclosure also covers standard methods of analysis and risk considerations that guide investment decisions.
The firm is notable for an affiliation with an accounting practice disclosed in Item 10 of its Form ADV, an arrangement that is uncommon among independent advisers of this size. That affiliation may lead the firm to integrate tax or accounting considerations into its advisory work and could result in more direct, coordinated tax and investment guidance for clients.
Client services
Portfolio management
Fee options
Main office location
Bauer Financial Services, Inc.
Sarasota FL, United States
Number of offices
1
Most active in
Bauer Financial Services, Inc. has reported serving >5 clients in these states in the last 12 months.
Florida · Ohio
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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