Duane Bāzis, CPWA®

Duane Bāzis, CPWA®

President & Founder

Mary Bāzis

Mary Bāzis

Operations Manager

Rich McGinness

Rich McGinness

Senior Vice President

Your Goals. Our Strategies.

Discover an array of services for all your financial needs. Fee only with no commissions.

Financial Planning & Investment Services

We work with you to create a plan to address specific concerns and reach your objectives. Learn how we tailor a plan to fit your personal goals.

Learn More

Retirement Planning

We believe that every client’s retirement plan needs to be customized to their unique goals, preferences and circumstances. Learn what it’s like to be confident in a retirement plan that was designed just for you.

Learn More

Portfolio Management

Portfolio management is about more than just buying and selling assets; it is about helping you achieve your financial goals. We are here to provide a personalized and flexible approach to managing your portfolio.

Learn More

Tailored Investment Approach

We treat each investor as a unique individual with unique financial goals. Our approach focuses on features to help you get more out of your investment.

Learn More

Meet Our Team

Put our experience and expertise at work for you.

How We Are Different

                                                                             Our firm is built and driven by client needs & expectations.

Our firm is a client goal driven money manager.

Our clients like to know exactly what they own. Consequently, we specialize in building private individual portfolios of separate equity and bond positions.

Our clients appreciate an adviser who is a fiduciary. We have embraced our fiduciary duty since the beginning by organizing our firm as a Registered Investment Advisor rather than as a non-fiduciary structure. 

We work with our clients advising them on issues related to private wealth management and investment planning. Although we serve clients in many phases of wealth accumulation, we specialize in working with accredited & qualified investors and their families.

Our clients prefer an advisor who is compensated by a fee rather than by commissions. Our practice is a fee-only firm. Instead of earning commissions by trading in an investment account, we assess an annual percentage fee based on the value of the account. It's a simple arrangement.

The firm does not have custody of our clients' assets. A third-party custodian holds the assets, prepares statements, and produces other applicable reports. TD Ameritrade/Schwab Institutional and LPL Financial serve as our custodians.

We work on a fixed fee and hourly basis also. This type of arrangement can work well  for financial plans and second opinions.

Prior to founding our SEC Registered Investment Advisory firm, our founder, Duane Bazis, held leadership positions at several large Wall Street Investment firms, including Portfolio Manager and Branch Manager. However, he found those environments simply weren’t conducive for him to serve his clients’ best interests, so he founded our current practice.

Duane's family roots are blue-collar. He understands what it is like to start with very little. His grandparents and parents, uncles and aunts immigrated and worked in the packing houses in Omaha, Nebraska. Those humble beginnings, are still humble in attitude. 

What drives our firm? The importance of preserving the wealth our clients have accumulated—not only for the current generation, but for the generations to come.


Connect With Us


Tell Us How We Can Help You Today!

Thank you!

Are You on the Road to Financial Wellness?

It's never too late to start. In this ebook, we outline effective financial strategies for every stage of the journey.

Thank you! Oops!