Bauer Wealth Management Inc.
- Regulatory AUM
- $206M
- Discretionary
- $203M
- Clients
- 162
- Avg AUM / client
- $1.3M
- Accounts
- 609
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of May 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 74 | $28.6M | 13.9% |
| High net worth individuals | 86 | $174M | 84.6% |
| Charitable organizations | 1 | $1.3K | 0.0% |
| Corporations and other businesses | 1 | $3.1M | 1.49% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel Carl Bauer | President | Jan 2010 (17y) | 75% or more | |
| Stephen Daniel Heitzmann | Member/Chief Compliance Officer/Chief Executive Officer | Sep 2017 (9y) | 10% – 25% | |
| Chris Aaron Franz | Member/Investment Advisor Representative | Feb 2020 (6y) | 5% – 10% | |
| Breakey, Joe, Sherman | Member | Jan 2021 (6y) | 5% – 10% | |
| Tristan Ouray Smith | Registered representative | Jul 2024 (2y) |
Undisclosed: 0% – 5% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/19/2026 | 989 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Fidelity Brokerage Services $152M (74% of AUM) May 2026
- Fidelity Distributors Company Llc $96.7M (93% of AUM) Jul 2022
- First Republic Bank $5.6M (4% of AUM) Mar 2024
- Millennium Trust Company, Llc $2.6M (2% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 19, 2026.
View current Form ADV (SEC/IAPD) ↗