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.

Former SEC-registered adviser

Bauerle Financial, Inc

Former SEC-registered adviserCRD 106775SEC 801-50497IAPD
Latest filing Feb 14, 2022
First filing on the tape Jan 12, 2012 · 26 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$837,885 gross assets
History
26 filings and snapshots on the tape
RAUM$103M as of Mar 24, 2021
Mar 27, 2012$102M then
HNW client RAUM$61.3M as of Mar 24, 2021
Mar 27, 2018$59.3M then
State-registered IARs (5.B.3)2 as of Mar 24, 2021
Mar 27, 20120 then
Employees (5.A)5 as of Mar 24, 2021
Mar 21, 20134 then
Private funds1 as of Mar 24, 2021
Mar 27, 20122 then
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Feb 14, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.3%derived
Compensation
hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Covenant Partners I, Ltd.no longer reportedOther Private Fund$2.0M71Jan 12, 2012
Bfi Global Total Return Fund, Ltd.Other Private Fund$837,88530Jan 12, 2012
Owners and control persons
Schedule A and B, latest filing
  • Alex Todd Bauerle · President & Chief Compliance Officercontrol
    since 01/1995 · owns 75% or more
Related persons
Schedule D 7.A
  • Bfi Global Total Return Fund, Ltd.
    pooled vehicle sponsory
  • National Advisors Trust Company
    n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 516.0 to unset
    May 28, 2021 to Nov 29, 2021
  • Advisory employees · 2 to 1
    May 28, 2021 to Nov 29, 2021
  • Advisory activities · 5 to 3
    May 28, 2021 to Nov 29, 2021
  • HNW clients · 29 to 0
    May 28, 2021 to Nov 29, 2021
  • Individual clients · 69 to 0
    May 28, 2021 to Nov 29, 2021
  • Pooled vehicle clients · 1 to 0
    May 28, 2021 to Nov 29, 2021
  • Assets in custody · $99.4M to $0
    May 28, 2021 to Nov 29, 2021
  • Custody of client assets · true to false
    May 28, 2021 to Nov 29, 2021
  • Employees · 5 to 2
    May 28, 2021 to Nov 29, 2021
  • HQ city · LAKE MARY to unset
    May 28, 2021 to Nov 29, 2021
  • HQ state · FL to unset
    May 28, 2021 to Nov 29, 2021
  • State-registered IARs · 2 to 1
    May 28, 2021 to Nov 29, 2021
  • Discretionary RAUM · 95761933.0 to unset
    May 28, 2021 to Nov 29, 2021
  • HNW RAUM · $61.3M to $0
    May 28, 2021 to Nov 29, 2021
  • Individual RAUM · $40.7M to $0
    May 28, 2021 to Nov 29, 2021
  • Non-discretionary RAUM · 6988778.0 to unset
    May 28, 2021 to Nov 29, 2021
  • Pooled vehicle RAUM · $837,885 to $0
    May 28, 2021 to Nov 29, 2021
  • RAUM · 102750711.0 to unset
    May 28, 2021 to Nov 29, 2021
  • Accounts · 541 to 516
    Jun 10, 2020 to Mar 24, 2021
  • Individual clients · 65 to 69
    Jun 10, 2020 to Mar 24, 2021
  • Assets in custody · $98.0M to $99.4M
    Jun 10, 2020 to Mar 24, 2021
  • Employees · 4 to 5
    Jun 10, 2020 to Mar 24, 2021
  • Discretionary RAUM · $99.0M to $95.8M
    Jun 10, 2020 to Mar 24, 2021
  • HNW RAUM · $61.9M to $61.3M
    Jun 10, 2020 to Mar 24, 2021
  • Individual RAUM · $41.5M to $40.7M
    Jun 10, 2020 to Mar 24, 2021
  • Non-discretionary RAUM · $5.2M to $7.0M
    Jun 10, 2020 to Mar 24, 2021
  • Pooled vehicle RAUM · $863,587 to $837,885
    Jun 10, 2020 to Mar 24, 2021
  • RAUM · $104M to $103M
    Jun 10, 2020 to Mar 24, 2021
  • Advisory activities · 6 to 5
    Apr 9, 2020 to Jun 10, 2020
  • Business name · BAUERLE FINANCIAL INC to BAUERLE FINANCIAL, INC
    Apr 9, 2020 to Jun 10, 2020
  • Legal name · BAUERLE FINANCIAL INC to BAUERLE FINANCIAL, INC
    Apr 9, 2020 to Jun 10, 2020
  • Accounts · 523 to 541
    Mar 25, 2019 to Apr 9, 2020
  • HNW clients · 28 to 29
    Mar 25, 2019 to Apr 9, 2020
  • Individual clients · 76 to 65
    Mar 25, 2019 to Apr 9, 2020
  • Assets in custody · $1.5M to $98.0M
    Mar 25, 2019 to Apr 9, 2020
  • Employees · 5 to 4
    Mar 25, 2019 to Apr 9, 2020
  • Financial planning clients · 101-250 to 51-100
    Mar 25, 2019 to Apr 9, 2020
  • State-registered IARs · 1 to 2
    Mar 25, 2019 to Apr 9, 2020
  • Discretionary RAUM · $87.4M to $99.0M
    Mar 25, 2019 to Apr 9, 2020
  • HNW RAUM · $59.1M to $61.9M
    Mar 25, 2019 to Apr 9, 2020
Signals
1 dated events
  • Taylor Alexander Bauerle left Bauerle Financial, Inc for Kairos Private Wealth, Inc. (registered 2021-01-25)
    Apr 21, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026