Baker & Associates Registered Investment Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$140,000
Clients
7
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
7
Very LowAverage account size
$20,000
About
Baker & Associates Registered Investment Advisors, LLC provides portfolio management and investment advisory services to a small number of individual clients, overseeing approximately $140,000 in client assets. The firm’s brochure also discloses involvement in private placements and lists two firm websites used for client communications and information.
The firm reports that a substantial portion of its advisory work is provided on a non‑discretionary basis, with clients retaining final decision authority, and it uses percentage‑of‑AUM fees while also reporting subscription‑style fees and sales of other financial products. In addition to advisory services, the firm discloses activity as an insurance broker/agent and involvement in other product distribution, and it conducts educational seminars or workshops as part of its client outreach.
What is distinctive is the mix of advisory and ancillary business lines—private placements, insurance brokerage, other financial product sales, and reported use of subscription fees—combined with a very small client base (seven clients) and modest assets under management. These combined activities and the primarily non‑discretionary service model are less common among independent advisers and suggest the firm blends traditional portfolio management with product distribution and educational offerings.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Financial consulting
Most active in
Baker & Associates Registered Investment Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
Forms ADV
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