Stephen Bauer
Stephen Bauer is a CFP-designated registered investment advisor at United Capital Financial Advisors, based in The Woodlands, TX, with 18 years of industry experience. Stephen 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, Tax Planning. Their firm serves 22,832 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.50% |
| $500K - $2.0M | 1.25% |
| $2.0M - $5.0M | 1.15% |
| $5.0M - $10.0M | 1.00% |
| $10M+ | 0.85% |
Fees are negotiable. United Capital can charge a tiered rate or a flat dollar fee instead of a flat percentage fee for the annual fee.
Fee Estimator
Location
1450 Lake Robbins Drive, Suite 400, The Woodlands, TX, 77380
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
Stephen is an Investment Advisory Representative at United Capital Financial Advisors, providing investment management and financial guidance. He also works as an insurance agent selling life, health, and annuity products through United Capital Risk Management, dedicating about a quarter of his time to each activity.
Employment History
Current Registrations
United Capital Financial Advisors
Previous Registrations
Goldman Sachs & CO. LLCBroker
Cetera Advisor Networks LLCBroker
Girard Securities, INC.Broker
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
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.