Bautis Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Bautis Financial, LLC provides discretionary investment supervisory services and financial planning to individual and high‑net‑worth clients, managing roughly 275 client relationships with about $197 million in discretionary assets. Its service set includes ongoing portfolio management supported by a written Investment Policy Statement and financial planning work such as cash flow, retirement, estate, tax, and insurance needs analyses.
The firm’s investment process is driven by client‑specific Investment Policy Statements and uses Orion Risk Intelligence alongside charting, fundamental, technical and cyclical analyses to implement both long‑ and short‑term trading strategies across mutual funds, equities, fixed income, ETFs, hedge funds, REITs and private placements. Bautis Financial generally operates on a discretionary basis, requests authority to select and trade securities for clients, and conducts account monitoring and reviews at least annually.
Noteworthy operational features include its insurance and risk‑management services—reviewing existing policies and analyzing life, long‑term care, disability and health insurance needs—and its role as an insurance broker/agent, a capability less common among similarly supported firms. The firm also requires clients to use its recommended custodian rather than permitting directed brokerage and relies on a single managing‑member reviewer for account oversight, choices that may affect trade execution and oversight relative to many peers.
Client services
Expertise
Fee options
$1,200, $2,400, $6,000, or $10,000 annually depending on complexity
$1 - $1,000,000: 1.00% annually Above $1,000,000+: 0.80% annually
Main office
8 Hillside Ave, Suite LL1
Montclair NJ 07042
Advisors at this office
2
Most active in
Florida · New Jersey · New York
Also doing business as
Bautis Financial, LLC · Name 417
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.
Quick links
Advisors at this firm
John W
Series 63, Series 65
Montclair, NJ
Bautis Financial, LLC
John Williams is a financial advisor at Bautis Financial, LLC with seven years of industry experience. He holds the Series 63 and Series 65 designations and has been with Bautis Financial since 2018, including its current iteration since 2020. Prior to his financial services career, he was involved with Woosh Athletic, LLC, an athletic-related business, from 2013 to 2016. Bautis Financial, LLC provides discretionary investment supervisory services and financial planning to individual and high-net-worth clients, managing approximately 275 client relationships with about $197 million in discretionary assets. The firm uses client-specific Investment Policy Statements and a variety of analytical techniques to implement trading strategies across multiple asset classes, typically operating on a discretionary basis with annual account reviews.
Marc B
Series 66
Montclair, NJ
Bautis Financial, LLC
Marc Bautis is a financial advisor at Bautis Financial, LLC with 13 years of industry experience. He holds a Series 66 designation and has been with Bautis Financial since 2008. The firm provides discretionary investment supervisory services and financial planning to individual and high-net-worth clients, managing approximately 275 client relationships with around $197 million in discretionary assets. Bautis Financial emphasizes client-specific Investment Policy Statements and employs a range of analytical tools to implement diversified trading strategies across multiple asset classes.
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