Joseph Bauers
Joseph Bauers is a registered investment advisor at Superior Planning Wealth Management & Family Office, based in Carpinteria, CA, with 24 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 335 clients with $190M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable and may be lower than 2%. A $10,000 annual minimum fee generally applies.
Fee Estimator
Location
6187 Carpinteria Avenue, Carpinteria, CA, 93013
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Joseph is a financial advisor involved in securities and insurance sales. He also has ownership interests in several LLCs related to real estate and acts as an Investment Adviser Representative and Registered Representative, dedicating a few hours per week to these activities.
Employment History
Current Registrations
Superior Planning Wealth Management & Family Office
Planmember Securities Corporation
Planmember Securities Corporation
Planmember Securities CorporationBroker
Previous Registrations
AXA Distributors, LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations11 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.