Baughman Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$76,431,246
Clients
57
42% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
57
HighAverage account size
$1,340,899
About
Baughman Wealth Advisors (dba Baughman Financial Group) provides portfolio management, financial planning, retirement and estate planning, and insurance planning for primarily high‑net‑worth individuals, families, trusts, estates, and foundations, and also accepts corporate pension and profit‑sharing plans and other institutional clients. The firm delivers discretionary asset management using traditional securities (stocks, bonds, mutual funds, ETFs) and charges advisory fees based on assets under management while also implementing recommendations that can generate commissions from insurance product sales.
The firm’s investment process blends multiple analysis techniques (fundamental, modern portfolio theory, technical, and cyclical analysis) and uses the Envestnet Private Wealth Management Program (PWMP) platform to construct model portfolios, execute trades, and access third‑party manager programs. It conducts manager due diligence (including interviews and on‑site visits), offers delegated third‑party management when appropriate, and reviews client accounts at least quarterly with periodic rebalancing.
Noteworthy distinctions for a firm of this size include acting as a wrap‑fee program participant/sponsor through the PWMP, maintaining a licensed advisor who may sell insurance and receive commissions, and serving both high‑net‑worth individuals and institutional clients. The firm also conducts periodic educational seminars at no charge and combines in‑house discretionary management with third‑party manager solutions, a mix that is less common among peers.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Consultations
Expertise
Business exit / sale strategy
Retirement plans for business owners (SEP, solo 401k)
General estate planning guidance
Charitable giving & philanthropy
Equity Recipients (RS/RSU, SOP, ESPP)
Occupation focus
Founder/Business Owner
Executive
Fee options
Commissions received from sales of insurance products; usual and customary commissions from insurance companies
$300 per hour for consultations and financial planning services
Account minimum: $500,000 Fee-only: $300 per hour for financial planning and consulting services; financial planning fees range from $3,000 to $10,000
Main office location
Baughman Financial Group
7250 Redwood Blvd, Suite 300
Novato CA 94945, United States
Number of offices
1
Most active in
Baughman Financial Group has reported serving >5 clients in these states in the last 12 months.
California · Texas
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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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
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