Alan Bau is a registered investment advisor at Spc, based in Colorado Springs, CO, with 46 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
Colorado Springs, CO
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Regulatory History (1)
Customer Dispute
November 1999Other Business ActivitiesSells Insurance
Alan owns Alan Bau Investments and is licensed to sell life insurance, equity index annuities, and health insurance. He dedicates a few hours per week to this activity as an independent agent representing various insurance companies.
Employment History
Current Registrations
Spc
Parkland Securities, LLCBroker
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Painewebber IncorporatedBroker
Edward D. Jones & CO., L.P.Broker
State Registrations5 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.