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BAXTER INVESTMENT MANAGEMENT
BAXTER INVESTMENT MANAGEMENT (CRD# 106548) is an SEC-Registered Investment Advisor (RIA), headquartered in Riverside, CT. The SEC approved the firm to operate as an RIA in May 1959. In Mar 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $501.1 Million, and has discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
BAXTER INVESTMENT MANAGEMENT also reported in Mar 2018:
  • 6 employees, with 3 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).
BAXTER INVESTMENT MANAGEMENT has no disclosure events reported to the SEC at this time.
 

View BAXTER INVESTMENT MANAGEMENT's most recent Form ADV filing
 


BAXTER INVESTMENT MANAGEMENT has Notice Filings with the following State Securities Authorities: CA-Jan 2003, CT-Jan 2003, DC-Jan 2003, FL-Jan 2003, GA-Sep 2014 , IL-Mar 2003, LA-Mar 2018, MA-Jan 2003, MD-Jan 2003, MI-Jan 2003 , MN-Jan 2003, NC-Feb 2003, NH-Jan 2006, NJ-Jan 2003, NM-Oct 2015 , NY-Jan 2003, OH-Mar 2006, PA-Jan 2003, RI-Jan 2003, SC-Apr 2017 , TX-Jun 2002, VA-Jan 2003

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.