Bales Financial Advisors, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Bales Financial Advisors provides discretionary asset management and financial planning primarily to individual (non‑high‑net‑worth) clients, documenting objectives, time horizons and risk tolerances for each account. The firm manages portfolios directly, may hire sub‑advisors to run portions of accounts, and refers clients to third‑party managers (for example, CreativeOne Wealth) when appropriate.
The firm’s investment process is based on client profiles and a mix of strategies that can include long‑term purchases, trading and technical analysis, with quarterly reviews and ongoing monitoring of sub‑advisors or TPMs. Bales Financial operates with discretionary trading authority, allows clients to impose written investment restrictions, and does not routinely vote proxies for client securities.
Distinctive features include an operating structure in which principals maintain affiliated insurance businesses and receive commissions from insurance sales, with disclosures and procedures in place to mitigate that conflict of interest. The firm also uses advertising testimonials (a practice that is uncommon among peers) and serves a relatively large number of smaller individual accounts rather than a high‑net‑worth clientele.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.75% annually $1,000,001 - $2,000,000: 1.25% annually $2,000,001+: Negotiable
Main office
212 Webb Street, Suite 101
Cumming GA 30040
Advisors at this office
2
Most active in
Georgia
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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
Advisors at this firm
Mark A
Series 65
Cumming, GA
Bales Financial Advisors, Inc
Mark Anglin is a financial advisor at Bales Financial Advisors, Inc. with seven years of industry experience. He holds a Series 65 designation and has worked at firms including Retirement Wealth Advisors and Anglin Insurance Group, which he owns. Outside of his advisory role, he is involved in insurance sales through his own agency. Bales Financial Advisors provides discretionary asset management and financial planning primarily to individual clients, using a client-profile-driven approach that includes long-term investments, trading, and technical analysis. The firm serves a broad base of smaller individual accounts and maintains affiliated insurance businesses alongside its advisory services.
Joseph M
Series 65
Cumming, GA
Bales Financial Advisors, Inc
Joseph Martin is a financial advisor at Bales Financial Advisors, Inc. with one year of industry experience. He holds a Series 65 designation and has prior experience at Parrish Capital, LLC. In addition to his advisory role, he owns and operates Transcend Sports Performance LLC, a sports training facility. Bales Financial Advisors provides discretionary asset management and financial planning primarily to individual clients, using a mix of strategies tailored to client profiles. The firm manages portfolios directly, may engage sub-advisors, and refers clients to third-party managers when appropriate.
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