BAUMAN ADVISORY GROUP, LLC of LAS VEGAS, NV is an SEC-registered investment adviser (CRD 153061). Regulatory assets under management: $206.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Julie Bauman | CHIEF OPERATIONS OFFICER | Las Vegas, NV |
| Michelle Anne Mccarthy | CHIEF COMPLIANCE OFFICER | — |
| Todd Charles Bauman | MANAGING MEMBER/CCO; MANAGING MEMBER/CHIEF EXECUTIVE OFFICER | — |
| BAUMAN TODD CHARLES | MANAGING MEMBER/CCO | — |
| Gavin Charles Sandefur | CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-02-04 | regulatory | CONDUCTED BUSINESS AS AN UNREGISTERED INVESTMENT ADVISER REPRESENTATIVE FOR THE RELEVANT TIME PERIOD | Final | $8K |
| 2021-04-01 | regulatory | FAILURE TO MAINTAIN ACCURATE FINANCIAL BOOKS AND RECORDS FOR THE FIRM. | Final | $3K |
| City | State | Employees | Phone |
|---|---|---|---|
| MESQUITE | NV | 1 | 702-897-9997 |
| HENDERSON | NV | 1 | 702-897-9997 |