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BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT, LLC
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BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT, LLC
(CRD# 167314)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Walnut Creek, CA.
The SEC approved the firm to operate as an RIA in
Apr 2013.
In
Jul 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$180.0 Million,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT, LLC
also reported in
Jul 2018:
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4
employees,
all of whom perform 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, BROSE & MITSUTOME WEALTH MANAGEMENT, LLC has no disclosure events reported to the SEC at this time.
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BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities:
CA-Apr 2013, HI-Feb 2016, LA-Jun 2013, NV-Jun 2013, OR-Jun 2013
, TX-Jun 2013, WA-Jun 2013
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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
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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