Cody Bauer
Cody Bauer is a registered investment advisor at Calton & Associates, INC., based in Winnie, TX, with 20 years of industry experience. Cody is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 5,283 clients with $1.6B 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 | 2.60% |
Fees are up to 2.60% and may be negotiable depending on the client, representative, and program selected.
Fee Estimator
Location
1790 Bauer Rd., Winnie, TX, 77665
Get directionsHistory
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
Cody owns Bauer's Texas Financial LP, where he assists with investment management and offers products including annuities, mutual funds, and life insurance, taking nearly full-time. He also serves as a director for the Winnie Area Chamber of Commerce (minimal time), is an IAR for Westpark Wealth Advisors, Inc. (about a quarter of his time), and owns Bauer Real Estate, LLC for tax purposes.
Employment History
Current Registrations
Calton & Associates, INC.Broker
Westpark Wealth Advisors, INC.
Previous Registrations
Ims Securities, INC.Broker
State Registrations2 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.