DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Francis Albert Bautz
Feed of 09/15/2026
Also filed as Frank Bautz
At current firm
6 y
since Sep 2, 2020
In the industry
27 y
since Jun 21, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Merit Financial Advisors BD affiliated currentsince Sep 2, 2020 · Boynton Beach, Fl
- Stratos Wealth Partners, Ltd BD affiliatedSep 27, 2010 to Sep 2, 2020 · Boynton, Fl
- LPL Financial LLC BD affiliatedAug 3, 2009 to Dec 31, 2010 · Boynton Beach, Fl
- Osaic Fa, Inc. formerMay 13, 2003 to Jul 30, 2009 · Lake Worth, Fl
- A. G. Edwards & Sons, Inc. unclassifiedMar 8, 2000 to Jan 21, 2003 · Boynton Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- Stratos Wealth Partners, Ltd to Merit Financial Advisorsleft Sep 2, 2020, registered Sep 2, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- LPL Financial LLC to Stratos Wealth Partners, Ltdleft Dec 31, 2010, registered Sep 27, 2010 (-95 days) · Other
- Osaic Fa, Inc. to LPL Financial LLCleft Jul 30, 2009, registered Aug 3, 2009 (4 days) · Other
- A. G. Edwards & Sons, Inc. to Osaic Fa, Inc.left Jan 21, 2003, registered May 13, 2003 (112 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address