BAXTER INVESTMENT MANAGEMENT
Latest filing: Apr 02, 2024 (381 days ago)
AUM
$915,112,236
0% change vs. 1 year ago
6% change vs. 3 years ago
36% change vs. 5 years ago
146% change vs. 10 years ago
Employee Count
7
0% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
17% change vs. 10 years ago
Main Office
RIVERSIDE, CT
1030 EAST PUTNAM AVENUE, RIVERSIDE, CT, UNITED STATES, 06878
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.9 |
| Non-Discretionary | $0.0 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.9 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 192 | $0.1 |
| Average Individual AUM | $361,803 | |
| HNW | 196 | $0.8 |
| Average HNW AUM | $4,063,960 | |
| Retail Total | 388 | $0.9 |
| Average Retail AUM | $2,231,965 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.8 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.9 |
| Retail SMA AUM | $0.9 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 79% | $0.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 7% | $0.1 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 3% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.9 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
Representatives
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN BAXTER | RIVERSIDE | CT | S66|2000-05-23 | ||||||
| WILLIAM BAXTER | RIVERSIDE | CT | S66|2018-04-04 | ||||||
| WILLIAM BAXTER | RIVERSIDE | CT | S63|1991-03-06|S65|1992-06-23 | ||||||
| DAMON HART | RIVERSIDE | CT | S63|1990-04-26|S65|2019-03-25 | ||||||
| JONATHAN SMITH | RIVERSIDE | CT | S65|2001-02-05 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $0.9 | $0.0 | 0% | 7 | 0 | 0% |
| 2024-04-02 | $0.9 | $0.0 | 0% | 7 | 0 | 0% |
| 2023-04-04 | $0.7 | $0.2 | 36% | 7 | 0 | 0% |
| 2022-04-01 | $0.9 | $0.0 | 6% | 7 | 0 | 0% |
| 2021-04-05 | $0.7 | $0.2 | 30% | 7 | 0 | 0% |
| 2020-04-01 | $0.7 | $0.2 | 36% | 7 | 0 | 0% |
| 2019-04-01 | $0.5 | $0.4 | 85% | 6 | 1 | 17% |
| 2018-04-02 | $0.5 | $0.4 | 83% | 6 | 1 | 17% |
| 2017-04-01 | $0.4 | $0.5 | 117% | 6 | 1 | 17% |
| 2016-04-01 | $0.4 | $0.5 | 146% | 6 | 1 | 17% |
| 2015-04-01 | $0.4 | $0.5 | 146% | 6 | 1 | 17% |
| 2014-04-01 | $0.3 | $0.6 | 189% | 6 | 1 | 17% |
| 2013-04-01 | $0.2 | $0.7 | 297% | 6 | 1 | 17% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CT, CA-01/02/2003, CT-01/02/2003, FL-01/03/2003, GA-09/03/2014, IA-03/29/2024, LA-03/26/2018, MA-01/02/2003, NH-01/20/2006, NJ-01/02/2003, NY-01/02/2003, PA-03/28/2019, RI-03/29/2024, TX-06/11/2002 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV