BAUER WEALTH MANAGEMENT INC.
Adviser information for BAUER WEALTH MANAGEMENT INC. last updated from Form ADV on March 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 492 | $132.2M |
| Non-Discretionary | 2 | $1.1M |
| Total | 494 | $133.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 70 | $23.4M |
| HNW Individuals | 68 | $109.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 3 | $423,528 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-122717 |
|---|---|
| SEC ERA File Number | 801-122717 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152977 |
| Legal Entity Identifier | None |
Principal Office
5755 MARK DABLING BLVDSUITE 245
COLORADO SPRINGS
CO
United States
Monday - Friday, 9:00 - 5:00
Tel: 719 575-9000, Fax: 719 481-5915
Websites
Chief Compliance Officer
STEPHEN D. HEITZMANN
CHIEF EXECUTIVE OFFICER
5755 MARK DABLING BLVD
SUITE 245
COLORADO SPRINGS
CO
United States
Tel:
719-210-4267
Fax:
719-481-5915
S******@************************M
(Full email address available in API data)
Regulatory Contact
DAN C. BAUER
PRESIDENT
5755 MARK DABLING BLVD
SUITE 245
COLORADO SPRINGS
CO
United States
Tel:
719-575-9000
Fax:
719-481-5915
D**@************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAUER, DANIEL, CARL | Individual | – | PRESIDENT | 01/2010 | > 75% |
| HEITZMANN, STEPHEN, DANIEL | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER | 09/2017 | 10-25% |
| FRANZ, CHRIS, AARON | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 01/2021 | 5-10% |
| BREAKEY, JOE, SHERMAN | Individual | – | MEMBER | 01/2021 | 5-10% |