{"url":"https://nivawealth.com/firms/bauer-wealth-management-152977","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/152977","regulatoryAum":205933923,"crd":"152977","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2892722","suffix":null,"lastName":"BAUER","firstName":"DANIEL","middleName":"CARL"},{"crd":"7200031","suffix":null,"lastName":"FRANZ","firstName":"CHRIS","middleName":"AARON"},{"crd":"5900481","suffix":null,"lastName":"HEITZMANN","firstName":"STEPHEN","middleName":"DANIEL"},{"crd":"7361738","suffix":null,"lastName":"SMITH","firstName":"TRISTAN","middleName":"OURAY"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-07-28","regulatoryAum":104311462,"clients":112,"employees":3,"offices":1},{"filedOn":"2023-07-26","regulatoryAum":103578981,"clients":145,"employees":3,"offices":1},{"filedOn":"2024-03-01","regulatoryAum":133313638,"clients":141,"employees":3,"offices":1},{"filedOn":"2025-07-01","regulatoryAum":177497454,"clients":161,"employees":3,"offices":1},{"filedOn":"2026-05-19","regulatoryAum":205933923,"clients":162,"employees":3,"offices":1}],"acquisitions":[{"date":"2020-03-01","datePrecision":"day","name":"Altruistic Investing","crd":"289016","source":"adv_w","dealType":"acquisition","sellerAum":null,"sellerAumDate":null,"sourceUrl":"https://adviserinfo.sec.gov/firm/summary/289016"}],"secFileNumber":"801-122717","legalName":"Bauer Wealth Management Inc.","displayName":"Bauer Wealth Management","slug":"bauer-wealth-management-152977","website":"https://bauerheitzmann.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2010","organization":"Colorado corporation","fiscalYearEnd":"December","headquarters":{"street":"5755 Mark Dabling BLVD, Suite 245","city":"Colorado Springs","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80919"},"tradeNames":["Bauer Heitzmann"],"registration":{"secApproved":"18 November 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1267905.50625,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":205933923,"discretionary":202566688,"discretionaryAccounts":597,"nonDiscretionary":3367235,"nonDiscretionaryAccounts":12,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":74,"regulatoryAum":28632100},{"label":"High-net-worth individuals","clients":86,"regulatoryAum":174232781},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":1298},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":3067744}],"feePrograms":[{"role":"other","program":"Financial Planning Services","summary":"Stand-alone and ongoing financial planning is a retainer; fees range from $2,500 to $25,000 per client annually, depending on complexity.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045643","versionId":1045643,"submittedOn":"2026-05-19","documentName":"BAUER WEALTH MANAGEMENT PART 2A & 2B BROCHURE"},{"role":"other","program":"Pension Consulting Services","summary":"Pension consulting is charged at 0.5% of the plan assets consulted on, billed quarterly in arrears and negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045643","versionId":1045643,"submittedOn":"2026-05-19","documentName":"BAUER WEALTH MANAGEMENT PART 2A & 2B BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:05:08.033971+00:00","documents":[{"name":"BAUER WEALTH MANAGEMENT PART 2A & 2B BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045643","versionId":1045643,"submittedOn":"2026-05-19"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":151521878}],"custodyNote":"Bauer Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stephen Heitzmann","title":"Member/Chief Compliance Officer/Chief Executive Officer","crd":"5900481"},{"name":"Daniel Bauer","title":"President","crd":"2892722"},{"name":"Joe Breakey","title":"Member","crd":"7348336"},{"name":"Chris Franz","title":"Member/Investment Advisor Representative","crd":"7200031"}],"ownership":[{"label":"Daniel Bauer","detail":"President in the 75% or more ownership band and a control person, since January 2010."},{"label":"Stephen Heitzmann","detail":"Member/chief compliance officer/chief executive officer in the 10% to 25% ownership band, since September 2017."},{"label":"Chris Franz","detail":"Member/investment advisor representative in the 5% to 10% ownership band, since January 2021."},{"label":"Joe Breakey","detail":"Member in the 5% to 10% ownership band, since January 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"5755 Mark Dabling BLVD, Suite 245","city":"Colorado Springs","headquarters":true}]}],"brochureServices":["education planning","estate planning","family office services","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"719-575-9000","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":21},{"label":"Non-exchange-traded equity securities","percent":21},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":8},{"label":"Securities issued by registered investment companies or business development companies","percent":41},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":3},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"19 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/152977/PDF/152977.pdf","brochureDate":"19 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045643","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Bauer Wealth Management have?","answer":"Bauer Wealth Management has 162 clients and manages $206 million for them, as of May 2026. They include 86 high-net-worth individuals, 74 individual clients and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Bauer Wealth Management offer?","answer":"Bauer Wealth Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, education planning, estate planning, family office services, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Bauer Wealth Management use?","answer":"Bauer Wealth Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $152M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Bauer Wealth Management have?","answer":"Bauer Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Bauer Wealth Management invest in?","answer":"At the end of its last fiscal year, Bauer Wealth Management’s separately managed accounts held 41% registered funds (mutual funds, ETFs, BDCs), 21% exchange-traded equities, 21% non-exchange-traded equities, 8% investment grade corporate bonds, 4% cash and equivalents, 3% pooled vehicles (private funds and similar), 1% U.S. government and agency bonds and 1% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Bauer Wealth Management?","answer":"Bauer Wealth Management’s direct owners are Daniel Bauer (75% or more), Stephen Heitzmann (10% to 25%), Chris Franz (5% to 10%) and Joe Breakey (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Bauer Wealth Management get paid?","answer":"Bauer Wealth Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Bauer Wealth Management?","answer":"Bauer Wealth Management’s main office is at 5755 Mark Dabling BLVD, Suite 245, Colorado Springs, CO 80919. Its phone number is 719-575-9000. Its website is bauerheitzmann.com.","source":"Form ADV Part 1A, Item 1.F, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}