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RIA / WealthAdvisorChartered Financial Analyst23 years in industry

NICHOLAS CHARLES BAUER

Advisor at OPEROSE ADVISORS LLC

MILWAUKEE, WI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 1
Observed: Jan 5, 2004 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Nicholas Charles Bauer

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OPEROSE ADVISORS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 30, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S63|S65
First exam: Jun 30, 2003
First registration: Jan 5, 2004
Dual registered: no
IAPD individual key: 3099440

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OPEROSE ADVISORS LLC	Independent wealth	Jul 24, 2017	n/a	yes	MILWAUKEE, WI	Current employment
JANUS HENDERSON INVESTORS	Former SEC adviser	Aug 3, 2015	Jan 12, 2017	no	CHICAGO, IL	Previous registration
GENEVA CAPITAL MANAGEMENT LLC	Other adviser	Jun 3, 2010	Jan 24, 2017	no	MILWAUKEE, WI	Previous registration
JOHNSON WEALTH INC.	Mixed wealth	Jan 29, 2010	May 14, 2010	no	n/a	Previous registration
CLEARY GULL INC.	Former SEC adviser	Dec 17, 2008	May 14, 2010	no	MILWAUKEE, WI	Previous registration
ZIEGLER CAPITAL MANAGEMENT, LLC	Former SEC adviser	May 24, 2005	Nov 20, 2008	no	MILWAUKEE, WI	Previous registration
B. C. ZIEGLER AND COMPANY	Former SEC adviser	Apr 12, 2005	Nov 20, 2008	no	MILWAUKEE, WI\|MILWAUKEE, WI	Previous registration
WOLF FINANCIAL MANAGEMENT, LLC	Former SEC adviser	Jan 5, 2004	Apr 15, 2005	no	OAK BROOK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GENEVA CAPITAL MANAGEMENT LLC	JANUS HENDERSON INVESTORS	Jan 24, 2017	Aug 3, 2015	-540	Firm change after gap	Other
JANUS HENDERSON INVESTORS	OPEROSE ADVISORS LLC	Jan 12, 2017	Jul 24, 2017	193	Firm change	Other
JOHNSON WEALTH INC.	GENEVA CAPITAL MANAGEMENT LLC	May 14, 2010	Jun 3, 2010	20	Firm change	Other
CLEARY GULL INC.	JOHNSON WEALTH INC.	May 14, 2010	Jan 29, 2010	-105	Firm change after gap	Other
ZIEGLER CAPITAL MANAGEMENT, LLC	CLEARY GULL INC.	Nov 20, 2008	Dec 17, 2008	27	Firm change	Other
B. C. ZIEGLER AND COMPANY	ZIEGLER CAPITAL MANAGEMENT, LLC	Nov 20, 2008	May 24, 2005	-1,276	Firm change after gap	Other
WOLF FINANCIAL MANAGEMENT, LLC	B. C. ZIEGLER AND COMPANY	Apr 15, 2005	Apr 12, 2005	-3	Firm change	Other

Relationships

Registered with (8)

→ OPEROSE ADVISORS LLCRegistered adviserregistration: current employment
Jul 24, 2017 to presentfactForm ADV
→ GENEVA CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 3, 2010 to Jan 24, 2017factForm ADV
→ JANUS HENDERSON INVESTORSRegistered adviserregistration: previous registration
Aug 3, 2015 to Jan 12, 2017factForm ADV
→ JOHNSON WEALTH INC.Registered adviserregistration: previous registration
Jan 29, 2010 to May 14, 2010factForm ADV
→ CLEARY GULL INC.Registered adviserregistration: previous registration
Dec 17, 2008 to May 14, 2010factForm ADV
→ ZIEGLER CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 24, 2005 to Nov 20, 2008factForm ADV
→ B. C. ZIEGLER AND COMPANYRegistered adviserregistration: previous registration
Apr 12, 2005 to Nov 20, 2008factForm ADV
→ WOLF FINANCIAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 5, 2004 to Apr 15, 2005factForm ADV

Dated events

No dated event names this entity yet.