James M. Bauman

FARTHER

Spokane Valley, WA

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CRD#: 6259247

Professional summary

James Matthew Bauman, CFP® is a registered financial advisor currently at FARTHER located in Spokane Valley, Washington.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. James has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

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.

TRIATHLON COACHING COMPANY NON-INVESTMENT-RELATED SPORTS BUSINESS OWNER 10013 NE HAZELDELL AVE, VANCOUVER, WA 98685 START DATE: 12/2011 15 HOURS PER MONTH COMMITMENT; 0 HOURS DURING TRADING HOURS ATT CLIENT SOLUTIONS EXECUTIVE 4913 SE Hill Road Milwaukie, OR 97267 NON-INVESTMENT-RELATED TECHNOLOGY SERVICES BUSINESS EMPLOYEE 20-30 HOURS/WEEK FLEX 3-4 HOURS DURING TRADING HOURS START DATE: OCTOBER 2017 DUTIES CENTER ON SUPPORTING LARGE CORPORATIONS WITH THEIR TELECOMMUNICATIONS NEEDS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Bauman's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2017

Experience

Current

March 10, 2023 - Present

FARTHER

RIA

CRD#: 302050

Spokane Valley, WA

Past

December 18, 2013 - October 23, 2023

OPTIMUM CAPITAL STRATEGIES

RIA

CRD#: 148483

BEAVERTON, OR

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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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

Washington
(3/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/2013

Uniform Investment Adviser Law Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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.

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James M. Bauman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Bauman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARTHER

OPTIMUM CAPITAL STRATEGIES

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/2013

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

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