Bailey Financial Management And Insurance Services

CRD#135340
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Bailey Financial Management And Insurance Services is a financial advisory company headquartered in Irvine, California. The company oversees $731.4 thousand in assets over eight accounts. It has a small team of one employee who is a financial advisor. Bailey Financial Management And Insurance Services is not a registered broker-dealer, meaning it cannot buy and sell securities for its accounts and those of its customers and instead has to go through a broker-dealer firm to do so. Securities are tradable financial assets like options, stocks and bonds.

Bailey Financial Management And Insurance Services manages seven of the company's client assets on a discretionary basis. Discretionary management signifies that an investment advisor has the discretion to make buy and sell judgments for the client's account without needing to seek client permission. Bailey Financial Management And Insurance Services also manages one non-discretionary accounts totaling $102,176 in assets under management. The advisory firm's average account size is $91,422. $500,001 to $1,000,000 of their financial planning investments were in securities, with under $100,000 invested in non-securities. The typical financial advisor at Bailey Financial Management And Insurance Services manages about eight client accounts, making it one of the more individualized advisor firms in the country.

Bailey Financial Management And Insurance Services's central office is at 15615 Alton Parkway, Irvine, California 92618-3308. The company is legally permitted to serve investors in the state of California.

Assets Under Management

$731.4 thousand

Number of Advisors

1

Disclosures

No

Office Location

15615 Alton Parkway
Irvine, CA 92618-3308

Bailey Financial Management And Insurance Services by the Numbers

Total Assets Under Management

$731.4 thousand

National Average: $3.7 billion
Total Number of Employees

1

National Average: 29
Total Number of Accounts

8

National Average: 2,073
Average Account Size

$91.4 thousand

National Average: $1.8 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Bailey Financial Management And Insurance Services offers multiple services, including financial planning services, portfolio management for individuals and small businesses and pension consulting services. In the prior fiscal year, Bailey Financial Management And Insurance Services provided financial planning services to 1-10 of its accounts. It does sell products or offer services different than investment advisory services to its customers.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

Back to Overview

Fee Structure

Fees for financial advisory services usually vary depending on which services the firm provides the client. Fee types charged by the company most likely include any blend of the following fee types: asset-based, hourly, fixed or commission-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. The company has the ability to withdraw its charges directly from customer funds.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 2% of firms

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Back to Overview

Types of Clients

The firm provides services to retail investors. Out of its eight accounts, Bailey Financial Management And Insurance Services's biggest client type by number of accounts is retail investors. None of the company's accounts are non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 100%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Bailey Financial Management And Insurance Services does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

Financial Advisors at Bailey Financial Management And Insurance Services

Robert Bailey
Irvine, CA

Not sure which advisor is right for you? Use our matching tool

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today

Back to Overview

This content was compiled from the SEC and FINRA