Bauman Advisory Group, Llc
- Regulatory AUM
- $206M
- Discretionary
- $206M
- Clients
- 493
- Avg AUM / client
- $419K
- Accounts
- 1,043
- Employees
- 19
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 447 | $126M | 60.9% |
| High net worth individuals | 44 | $79.1M | 38.3% |
| Pension and profit sharing plans | 1 | $1.5M | 0.75% |
| Charitable organizations | 1 | $123K | 0.06% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Todd Charles Bauman | Managing Member/Cco | Feb 2010 (17y) | 75% or more | |
| Kenton M Fenno | Registered representative | May 2022 (4y) | ||
| Gavin Charles Sandefur | Registered representative | Aug 2022 (4y) | ||
| Vincent Michael Garaventa | Registered representative | CFP | Dec 2024 (2y) | |
| Paolo Gabrielli Kipping Torres | Registered representative | Jun 2025 (1y) |
Undisclosed: 0% – 25% 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) | 05/22/2026 | 1.25 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FAILURE TO MAINTAIN ACCURATE FINANCIAL BOOKS AND RECORDS FOR THE FIRM. Status: Final Sanction Detail: CIVIL PENALTY OF $2,500 DUE UPON SIGNING THE ORDER. THE FINE WAS PAID AND ORDER SIGNED ON 04/01/2021. Summary: FINE PAID ON 04/01/2021
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $205M (99% of AUM) May 2026
- Pershing $31.7M (30% of AUM) Nov 2024
- Altruist Financial $26.8M (23% of AUM) Sep 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 22, 2026.
View current Form ADV (SEC/IAPD) ↗