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Joseph Bauers

Superior Planning Wealth Management & Family Office
24 Years of Experience
San Diego, CA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Joseph Bauers is a registered investment advisor at Superior Planning Wealth Management & Family Office, based in San Diego, CA, with 24 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 516 clients with $350M in assets under management.

Superior Planning Wealth Management & Family Office
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
516 clients
Average Client Portfolio
$677K average
Assets Under Management
$349.6M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum annual fee is 2.00 percent. Specific fees are determined based on asset size, portfolio complexity, and account activity, and are negotiable at the firm's discretion.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

10085 Carroll Canyon Road, Suite 150, San Diego, CA, 92131

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History

Regulatory History
Clean regulatory record

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.

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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
September 2024 - Present · 2 yrs 1 mo
Planmember Securities Corporation
November 2016 - Present · 9 yrs 11 mos
Planmember Securities Corporation
November 2016 - Present · 9 yrs 11 mos
Planmember Securities CorporationBroker
November 2016 - Present · 9 yrs 11 mos
Previous Registrations
AXA Distributors, LLCBroker
June 2015 - October 2016 · 1 yr 4 mos
AXA Advisors, LLC
December 2001 - June 2015 · 13 yrs 6 mos
AXA Advisors, LLCBroker
October 2001 - June 2015 · 13 yrs 8 mos
State Registrations11 states
ALAZCACODCGAILNCRITNTX
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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