Baynes Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$616,747
Clients
9
Advisors
1
of 1 employees
About
Baynes Financial LLC provides investment advisory, financial planning, coaching, and insurance-related services to individuals, high‑net‑worth clients, small businesses, corporations, and qualified retirement plans including pension and profit‑sharing plans. The firm offers portfolio management guided by individual investment policy statements and also delivers education through articles and email newsletters.
The firm generally operates on a non‑discretionary basis, preparing tailored investment policy statements and obtaining client approval before executing transactions, and it uses a mix of fundamental and technical analysis (including charting and cyclical studies) when constructing portfolios; it may also recommend third‑party managers or the Orion Portfolio Solutions program for portions of client assets. Financial planning and coaching engagements are offered on subscription, fixed‑fee, or hourly bases, with periodic reviews and client reporting.
Distinctive for a solo independent adviser, the firm maintains publications and runs public educational seminars and workshops, and it provides ERISA 3(21) limited‑scope fiduciary services and pension/profit‑sharing plan consulting — services that are less common among peers of this size. The firm’s principal has an affiliated insurance business and receives commission income from insurance sales (a disclosed potential conflict of interest), and the firm emphasizes disclosures and procedures to mitigate those conflicts while serving a relatively small client roster with primarily non‑discretionary AUM.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Fixed fees from $500 to $50,000; Flat fees for financial plan updates or other services may also be charged
$1 - $1,000,000: 1.25% annually $1,000,001 - $2,500,000: 1.00% annually $2,500,001 - $5,000,000: 0.80% annually $5,000,001 - $10,000,000: 0.70% annually $15,000,001+: 0.50% annually
Some representatives receive commissions on insurance products sold, no advisory fees are charged on these commissions
Rates range from $100 to $500 per hour
Subscription fees range from $100 to $500 monthly; can be paid quarterly or semi-annually
Fee-only: Hourly fees ranging from $100 to $500 per hour; Fixed fees from $500 to $50,000; Subscription fees from $100 to $500 monthly
Main office
9431 Haven Ave, Suite 213
Rancho Cucamonga CA 91730
Advisors at this office
1
Most active in
California
Also doing business as
Baynes Financial LLC · Empower Financial Wealth Management LLC
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
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