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BAKER & ASSOCIATES
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BAKER & ASSOCIATES
(CRD# 155867)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Irvine, CA.
The SEC approved the firm to operate as an RIA in
Jan 2011.
In
Feb 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$165.9 Million,
and has discretion over
90%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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BAKER & ASSOCIATES
also reported in
Feb 2018:
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3
employees,
with
2
performing advisory functions.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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BAKER & ASSOCIATES has no disclosure events reported to the SEC at this time.
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BAKER & ASSOCIATES has Notice Filings with the following State Securities Authorities:
CA-Jan 2011, IN-Jan 2011, LA-Apr 2017, TX-Mar 2014
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The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
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contact FindingFraud.org with questions or concerns.
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