William Bauer
William Bauer is a registered investment advisor at Charles Schwab & CO., INC., based in New York City, NY, with 27 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Location
100 Broadway, New York City, NY, 10005
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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 →Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Clearview Trading Advisors, INC.Broker
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Morgan Stanley
Morgan StanleyBroker
Ticonderoga Securities LLCBroker
Knight Equity Markets, L.P.Broker
Newedge USA, LLCBroker
RBC Capital Markets CorporationBroker
Carlin Equities, LLCBroker
Ladenburg Thalmann Asset Management INC
Ladenburg Thalmann & CO. INC.Broker
Exgen Securities LLCBroker
A.B. Watley, INC.Broker
Fleet Securities, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prime Charter LTD.Broker
Reich & CO., INC.Broker
A. R. Baron & CO., INC.Broker
D. H. Blair & CO., INC.Broker
State Registrations17 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.