SourcingSourcing

BAZIS PRIVATE WEALTH, LLC

B57
CRD 148605·SEC 801-107200·OMAHA, NE
AUM
$244.1M
$100M-$500M
Est. Revenue
$2.4M
@ 1% on AUM
Est. EBITDA
$732K
@ 30% margin
Est. Deal Value
$5.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BAZIS PRIVATE WEALTH, LLC
CRD
148605
SEC file #
801-107200
EIN
—
DBA names
—

Economics

AUM
$244.1M
AUM band
$100M-$500M
AUM trajectory
'20'26
$127.7M → $244.1M▲ +91%
Client mix
Individuals Other126
Individuals High Net Worth84

Operations

Employees (total)
5
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
2 advisors → 4 advisors▲ +100%
Primary office
OMAHA NE
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed fees

Filings

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BAZIS, DUANE, ROBERT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
BAZIS, DUANE, ROBERT
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Lpl Financial4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
1369632
Trust Company Affiliate
No

People (4)

4
BAZIS, DUANE, ROBERT
IAR · Direct Owner · 87.5%
1369632
Andrew David Lamer
IAR
7981366
RICHARD LEE MCGINNESS
IAR
6316315
Aaron Christopher Hilgemann
IAR
7268330