DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BALDWIN & ASSOCIATES

MARY E. BALDWIN, CFP, PROFESSIONAL ASSOCIATION, CRD 129429

INDIAN HARBOUR BEACH, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:06a1ab1b-9bdc-4eb6-e6b9-89010d130dcf

Data as of Jun 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 26, 2012 to Jun 25, 2020
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $155MItem 5.F on the latest filing (2020-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $146MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 551
Individual clients: 56
High net worth clients: 60
Custody, client assets: $48.0M
SEC number: 801-88221
CRD: 129429
Filings on the tape: 14
First filed: Jan 26, 2012
Latest filed: Jun 25, 2020
Organised: Corporation, Florida

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BALDWIN, MARY, ELLEN	OWNER/CHIEF COMPLIANCE OFFICER	E	yes	03/2004	Jan 26, 2012	Jun 25, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 10, 2020	$155M	$0	5	2	0	n/a	n/a
2018	Mar 14, 2019	$137M	$0	5	2	0	n/a	n/a
2017	Feb 28, 2018	$133M	$0	5	2	0	n/a	n/a
2016	Mar 8, 2017	$117M	$0	2	2	n/a	n/a	n/a
2015	Mar 21, 2016	$103M	$0	2	1	n/a	n/a	n/a
2011	Jan 26, 2012	$77.0M	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$155M	$137M	12.8%	$117M	9.7%	5	5	0	0

Relationships

Controls (1)

← BALDWIN, MARY, ELLENOwnerOWNER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 26, 2012 to presentfactForm ADV

Registered with (2)

← DOROTHY MARIE BOURLIERAdvisorregistration: previous registration
Mar 29, 2016 to Oct 30, 2020factForm ADV
← CARL ANDREW LARIMOREAdvisorregistration: previous registration
Jan 3, 2014 to Jan 15, 2016factForm ADV

Dated events

Occurred
Apr 1, 2015
First Form ADV filing
Baldwin & Associates filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06a1ab1b-9bdc-4eb6-e6b9-89010d130dcf
First observed: Jan 26, 2012
Last observed: Jun 25, 2020 75 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BALDWIN & ASSOCIATES

MARY E. BALDWIN, CFP, PROFESSIONAL ASSOCIATION, CRD 129429

INDIAN HARBOUR BEACH, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:06a1ab1b-9bdc-4eb6-e6b9-89010d130dcf

Data as of Jun 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:45 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALDWIN, MARY, ELLEN

OWNER/CHIEF COMPLIANCE OFFICER

yes

03/2004

Jan 26, 2012

Jun 25, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 10, 2020

$155M

n/a

2018

Mar 14, 2019

$137M

n/a

2017

Feb 28, 2018

$133M

n/a

2016

Mar 8, 2017

$117M

n/a

2015

Mar 21, 2016

$103M

n/a

2011

Jan 26, 2012

$77.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$155M

$137M

12.8%

$117M

9.7%