Alan T W Bau

Spc

45 Years of Experience

1 DisclosureBrokerSells Insurance

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Areas of Practice

Investment Management

Spc

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

474 advisors

Number of Clients

30,881 clients

Average Client Portfolio

$183K average

Assets Under Management

$5.7B

Fee Structure

Minimum Investment:$10K

Financial Planning:Investment management only

Minimum Annual Fee:$25

Location

Colorado Springs, CO

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History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

November 1999

Denied

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Other 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.