Bautis Financial provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 251–500 clients last fiscal year.
Bautis Financial reports 275 clients. They include 248 individual clients and 27 high-net-worth individuals. Of its assets, 100.0% ($197M across 797 accounts) are managed with discretion. It advised 5 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 90% | 61% |
| High-net-worth individuals | 10% | 39% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 248 | $121M | 61.3% | $488K |
| High-net-worth individuals | 27 | $76.3M | 38.7% | $2.83M |
| Total | 275 | $197M | 100% | $718K |
- Clients
- 248
- Regulatory AUM
- $121M
- AUM share
- 61.3%
- Avg. per client
- $488K
- Clients
- 27
- Regulatory AUM
- $76.3M
- AUM share
- 38.7%
- Avg. per client
- $2.83M
Total
- Clients
- 275
- Regulatory AUM
- $197M
- AUM share
- 100%
- Avg. per client
- $718K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 5
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Bautis Financial charges 0.80%–1.00% a year for its Investment Supervisory Services. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Financial planning is a fixed annual fee of $1,200, $2,400, $6,000 or $10,000, depending on complexity; clients may negotiate a different arrangement.
Marc Bautis owns 75% or more of Bautis Financial. The leadership team of Bautis Financial includes President Marc Bautis. It has 5 employees, 2 of them in advisory roles.
Leadership
Marc BautisPresident/Chief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 2 in advisory functions
- 2 state-registered reps
- 2 insurance agents
- Owns 75% or more of Bautis Financial, LLC
Marc Bautis
Control person · since November 2008
Bautis Financial’s regulatory assets grew 1.6× from $122M (March 2024) to $197M (February 2026); clients rose from 229 to 275 and employees were 5 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $197M | 275 | 5 | 2 |
| February 2025 | $157M | 255 | 5 | 2 |
| March 2024 | $122M | 229 | 5 | 2 |
Besides its headquarters, Bautis Financial has 1 office, with 2 listed addresses in Florida and New Jersey.
Florida · 1 listed address
- 19112 Dawnwood CT, Jupiter
New Jersey · 1 listed address
- 8 Hillside Ave, Suite LL1, MontclairHQ
Contact and registration details
- Legal name
- Bautis Financial, LLC
- Headquarters
- 8 Hillside Ave, Suite LL1, Montclair, NJ 07042
- Website
- bautisfinancial.com
- Phone
- 862-205-5800
- SEC file
- 801-129584
- Structure
- New Jersey LLC
- Fiscal year end
- December
Bautis Financial uses Charles Schwab ($189M) as custodian for its separately managed accounts. Bautis Financial does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $189M100%
At year end, Bautis Financial’s separately managed accounts were mostly in funds (66%) and stocks (29%).
What the accounts hold
- Stocks29%
- Exchange-traded equities28%
- Non-exchange-traded equities1%
- Funds66%
- Registered funds65%
- Pooled vehicles1%
- Bonds2%
- U.S. government and agency bonds1%
- Investment grade corporate bonds1%
- Cash6%
- Other1%
- Derivatives1%
How many clients does Bautis Financial have?
Bautis Financial has 275 clients and manages $197 million for them, as of February 2026. They include 248 individual clients and 27 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 18 February 2026
What services does Bautis Financial offer?
Bautis Financial provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Bautis Financial charge?
Bautis Financial charges 0.80%–1.00% a year for its Investment Supervisory Services. The fee is billed in arrears and is negotiable.
Which custodians does Bautis Financial use?
Bautis Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $189M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 February 2026
How many financial advisors does Bautis Financial have?
Bautis Financial has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Bautis Financial invest in?
At the end of its last fiscal year, Bautis Financial’s separately managed accounts held 65% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities, 6% cash and equivalents, 1% non-exchange-traded equities, 1% U.S. government and agency bonds, 1% investment grade corporate bonds, 1% derivatives and 1% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Bautis Financial?
Bautis Financial’s direct owner is Marc Bautis (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 18 February 2026
How does Bautis Financial get paid?
Bautis Financial is paid through a percentage of assets under management and fixed fees. 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
Is Bautis Financial registered with the SEC?
Yes, Bautis Financial has been registered with the SEC as an investment adviser since 29 February 2024. Its CRD number is 148582 and its SEC file number is 801-129584.
Source: Form ADV Part 1A, Item 1, filed 18 February 2026; IAPD firm record
How do I contact Bautis Financial?
Bautis Financial’s main office is at 8 Hillside Ave, Suite LL1, Montclair, NJ 07042. Its phone number is 862-205-5800. Its website is bautisfinancial.com.