|
|
|
|
|
|
BALDWIN BROTHERS INC
|
|
BALDWIN BROTHERS INC
(CRD# 105343)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Marion, MA.
The SEC approved the firm to operate as an RIA in
Jul 1980.
In
Sep 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$1.0 Billion,
and has discretion over
97%
of those assets.
Pooled investment vehicles (Private Funds) account for
7%
of RAUM.
Non-US investors represent
1%
.
|
|
BALDWIN BROTHERS INC
also reported in
Sep 2018:
-
21
employees,
with
8
performing advisory functions.
-
A total of 2 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
BALDWIN BROTHERS INC has no disclosure events reported to the SEC at this time.
|
|
|
|
|
|
|
|
|
BALDWIN BROTHERS INC has Notice Filings with the following State Securities Authorities:
CA-Nov 1991, CO-Nov 2017, CT-Nov 1997, FL-Mar 1993, KY-Jul 2001
, MA-Apr 1994, ME-Nov 2014, NE-Mar 2016, NH-Apr 1994, NM-Jul 2018
, NY-Jan 2001, PA-Sep 1992, RI-Mar 1993, VA-Jul 2018, VT-Nov 1994
|
|
Disclaimer:
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.
|
|
|
|
