Kenny B. Bauer
ROCKWOOD WEALTH MANAGEMENT
New Hope, PA 18938
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CRD#: 2861423
Professional summary
Kenny Brian Bauer, CFP® is a registered financial advisor currently at ROCKWOOD WEALTH MANAGEMENT, LLC located in New Hope, Pennsylvania.
Kenny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Kenny has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Biography
Specialties: Investment Consulting & Advanced Planning for prosperous individuals and their families.
Rockwood specializes in working with high net worth individuals & their families, helping them to structure their financial affairs with our expertise in asset management, tax and financial planning, risk management, private banking, and estate planning.
Kenny is responsible for advising affluent individuals & their families as well as the institutions they care about. He functions as a trusted advisor on all matters pertaining to his clients’ financial needs and investments. His broad understanding of capital markets, taxation, insurance, retirement and estate planning allows him to address issues critical to their success.
Kenny’s responsibilities include engineering long-term investment plans aimed specifically at achieving his clients’ stated goals. He establishes comprehensive financial planning solutions for his clients using sophisticated portfolio analysis tools. Kenny works closely with his clients’ tax and legal advisors to ensure a multi-faceted approach to wealth planning.
He supports his community in several capacities for Boy Scouts of America and is a volunteer for the Travis Manion Foundation. He enjoys lacrosse as a former player and coach, as well as a parent, and is currently an active lacrosse official.
Question & Answer
What are your service offerings?
Estate Planning
Employee and Employer Plan Ben...
Insurance Planning
Investment Planning
Retirement Planning
Comprehensive Financial Planni...
Retirement Income Management
Tax Planning
Do you have an area of expertise or specialization?
Business Owners
Corporate Executives
Estate & Generational Planning...
High Net Worth Client Needs
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
US Lacrosse and Pennsylvania Interscholastic Athletic Association certified boys lacrosse official. Self-employed contractor. Captain Connor J. Bednarzyk, USA Memorial Fund; investment related: No; 3697 East Brandon Way, Doylestown, PA 18902; The organization is a PA charitable corporation whose purpose is to encourage and assist those who will serve, are serving, or have served our Country by serving in the Armed Forces of the United States and to motivate and instill leadership qualities in those same individuals in the memory of Connor J. Bednarzyk.; Corporate Secretary / Board Member; Corporate Secretary / Board Member; 2019-06-26; Hours devoted to business during trading hours: 2; Hours devoted to business outside trading hours: 6; Percentage of total yearly compensation expected to be derived from the business: 0. WASHINGTON CROSSING COUNCIL, BOY SCOUTS OF AMERICA; EXECUTIVE BOARD MEMBER; INVESTMENT RELATED: NO; ONE SCOUT WAY, DOYLESTOWN, PA 18902; THE ORGANIZATION IS A 501(C)3 ORGANIZATION THAT HAS A LOCAL COUNCIL CHARTER FOR SCOUTING USA.; NON-PROFIT BOARD OF DIRECTORS MEMBER; 2021-12-15; HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 2; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 8;
CRS (Client Relationship Summary) - RIA
Click below to view Kenny Brian Bauer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1999
Experience
Current
September 29, 2017 - Present
ROCKWOOD WEALTH MANAGEMENT, LLC
Office #1: 6464 Lower York Road, New Hope, PA 18938RIA
CRD#: 137481
New Hope, PA
Past
January 2, 2002 - June 22, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
DOYLESTOWN, PA
Past
February 18, 2000 - August 29, 2017
THE MARSHALL FINANCIAL GROUP, INC
RIA
CRD#: 110935
DOYLESTOWN, PA
Past
April 8, 1997 - December 31, 2001
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROCKWOOD WEALTH MANAGEMENT, LLC
BOOTH ADVISORY GROUP, LLC | ROCKWOOD WEALTH MANAGEMENT, LLC
CRD#: 137481 / SEC#: 801-69884
RIA
Registered Investment Advisory firm - (1/26/2009 Approved)Pennsylvania
Registered Investment Advisory firm - (2/27/2009 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(9/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
ROCKWOOD WEALTH MANAGEMENT, LLC
BOOTH ADVISORY GROUP, LLC | ROCKWOOD WEALTH MANAGEMENT, LLC
CRD#: 137481 / SEC#: 801-69884
RIA
Registered Investment Advisory firm - (1/26/2009 Approved)Pennsylvania
Registered Investment Advisory firm - (2/27/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6464 Lower York Road, New Hope, PA 18938
Mailing Address
Phone number
(267) 983-6400
Established
Firm type
Fiscal year end
# of Employees
51
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,476 |
| AUM (Assets Under Management) | $ 2,185,443,848 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/20/2023 | ||
| 02/02/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
