CRD: 117134
Estate & Retirement Strategies LLC
$4.3M Total AUM
$4.3M Disc. AUM
-- 3Y CAGR
1 Employees
30 ADV. Clients
29 yrs Firm Age
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- Custodian
- Altruist · Charles Schwab & Company · Truist Bank
- Clients
- Retail
- Platforms
- Available
- Established Date
- 01-10-1997
- Office Locations
- 1
Office Locations
2233 W Baseline RD STE 103 Tempe AZ
About Estate & Retirement Strategies LLC
Estate & Retirement Strategies provides fee-based retirement planning and investment management for individuals navigating retirement readiness and major life events (e.g., divorce or loss of a spouse/job). The firm pairs long-term, asset-allocation portfolio design with risk management, estate planning, and tax mitigation strategies, and has specific expertise advising state employees on OPERS/STRS benefits.
Team overview
56 AVG AGE
$4.3M AVG AUM / ADVISOR
$141.7K AVG AUM / CLIENT
24 yrs AVG TENURE
1 Employees
1 Advisory Reps
1 RIA Reps
29yrs Firm Age
Insights
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Asset Classes
Available
Client Personas
Available
Custodian
Available
Investment Themes
Available
Investment Vehicles
Available
Platform
Available
Services
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Technology
Available
Owner & Executives
ANNETTE MARION BAU
Financial Advisor
- CRD
- #1895794
- Ownership
- Less than 5%
Available
Available
Available
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Total AUM
Discretionary
Non-Discretionary
No AUM history available
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $4,251,804 | -- |
| Non-Discretionary | $0 | -- |
| Total | $4,251,804 | -- |
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Separately Managed Accounts
Total SMA Asset: Available
Other:
Available Equity - OTC:
Available Cash:
Available Equity - Exchange:
Available Public Funds:
Available | Asset class | Assets | Assets % |
|---|---|---|
| Other | Available | Available |
| Equity - OTC | Available | Available |
| Cash | Available | Available |
| Equity - Exchange | Available | Available |
| Public Funds | Available | Available |
| Total | Available | Available |
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