Bauer Captain & Johnson, Inc. (Scottsdale)

Name: Bauer Captain & Johnson, Inc.
Address: 8355 East Hartford Drive, Scottsdale, AZ, 85255
Telephone: (480) 483-1510

Bauer Captain & Johnson, Inc. is a large advisory firm based in Scottsdale. It manages $441.03 million of regulatory assets for 2,970 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Arizona, California, Colorado, and 8 other states.

Bauer Captain & Johnson provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Bauer Captain & Johnson: assets under management

The assets under management (AUM) of Bauer Captain & Johnson, Inc. is $441.03 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $441.03 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $148.5 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Bauer Captain & Johnson, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Bauer Captain & Johnson, Inc.

The company employs 54 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Kevin G Bauer has been acting as President since 1 Jan 1996. David Duncan Carroll has served as the Chief Investment Officer since 1 Nov 2007 and Justin Michael Young is the Chief Executive Officer of Bauer Captain & Johnson, Inc. family office. Thomas Edward Shea joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kevin G Bauer	President	1 Jan 1996	50% - 75%	1271244
Stephen Curtis Captain	Vice president	1 Jan 1996	Other	1637709
Kevin Gary Bauer	President	1 Jan 1996	50% - 75%	1271244
Ann Louise Wilde	Secretary	1 Jan 2000	Other	4381126
Mark Elmer Johnson	Shareholder	1 Aug 2003	Other	1136390
Andrea Watkins Bauer	Chief financial officer	1 Jun 2004	Other	4221332
Andrea Watkins Hunter	Chief compliance officer	1 Jan 2005	Other	4221332
Lorenzo Eric Alaniz	Chief compliance officer	1 Oct 2006	Other	2974976
David Duncan Carroll	Chief investment officer	1 Nov 2007	Other	1801652
Country Bray	Chief compliance officer	1 May 2012	Other	3165790
Justin Michael Young	Chief executive officer	1 Sep 2013	Other	6317792
Ardala Marie Evans	Chief compliance officer	1 Aug 2015	Other	5569745
Thomas Edward Shea	Chief compliance officer	1 Apr 2017	Other	2299633

Based in Scottsdale

The principal office where Bauer Captain & Johnson, Inc. performs its advisory services is located at 8355 East Hartford Drive, Scottsdale, AZ 85255, which is also the mailing address of the firm. An additional office of the firm is in Redlands, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (480) 483-1510 or by fax (480) 483-9318. The normal business hours are 8:00am to 4:00pm on Monday - Friday. You can find more information about the New York firm at bcjcapital.com.