Bauerle Financial Inc (Lake Mary)

Bauerle Financial Inc is a large advisory firm based in Lake Mary. It manages $92.57 million of regulatory assets for 523 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida, Georgia, North Carolina, and Texas.

Bauerle Financial provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Bauerle Financial: assets under management

The assets under management (AUM) of Bauerle Financial Inc is $92.57 million. The firm's AUM has grown by 106% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $87.36 million in discretionary accounts and $5.22 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $193.69 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $72.49 thousand.

Bauerle Financial has custody of $1.51 million in cash and securities for 2 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 68% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 22% of the firm’s portfolio. Investments in other assets form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Bauerle Financial Inc for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Bauerle Financial serves?

The firm provides services to individuals, high net worth individuals, and pooled investment vehicles. The largest group of clients of Bauerle Financial is high net worth individuals with 28 clients and $59.15 million of assets under management. Among the 10 most similar advisory firms, Bauerle Financial has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $92.57 million for 105 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Bauerle Financial also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Bauerle Financial Inc

The company employs 5 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Todd Alex Bauerle	President & chief compliance officer	1 Jan 1995	75% - 100%	1328549

Based in Lake Mary

The principal office where Bauerle Financial Inc performs its advisory services is located at 1525 International Parkway, Lake Mary, FL 32746, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 407-878-1229 or by fax 407-333-4466. The normal business hours are 9:00 am -4:00 pm on Monday - Friday.