Bauer Financial Services, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Fee options
Main office
Sarasota FL
Advisors at this office
1
Most active in
Florida · Ohio
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:
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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