Leigh Baldwin & CO., LLC

Leigh Baldwin & Co., LLC provides discretionary portfolio management and financial planning services to a mix of individual clients (including high-net-worth individuals) and institutions such as pension plans, foundations, and municipalities. The firm manages about $285 million in discretionary assets through a team of 18 advisors and also offers stand‑alone planning engagements and a branded systematic investing program called the Dollar Investment Club.

The firm’s advisers use a blend of fundamental and technical analysis, combine long- and short‑term positions, and may employ options strategies where appropriate; many accounts are managed via third‑party programs (including Fidelity’s FMAX) or outside managers acting as part of a tri‑party platform. Leigh Baldwin acts as an intermediary to these wrap and model programs and may recommend or implement manager sleeves alongside in‑house strategies.

Leigh Baldwin is dually registered as both an SEC‑registered investment adviser and a FINRA broker‑dealer, and several of its representatives are dually registered and licensed to sell insurance products, which the firm discloses can create conflicts of interest related to transaction‑based compensation and product recommendations. The firm also discloses a past FINRA disciplinary matter concerning OATS reporting (resulting in a 2010 acceptance, waiver, and consent), and it receives and shares certain clearing and ticket revenue through its clearing relationship with National Financial Services.