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

BAKER & ASSOCIATES

CBT FINANCIAL PLANNING, INC., CRD 155867

IRVINE, CA

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Search this name across graphsid dfx:ria:30e0bbb4-f783-e074-c51e-3dc1412282be

Data as of Mar 15, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Mar 15, 2021
15 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Baker & Associates

Investment consultant · shared crd

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: $203MItem 5.F on the latest filing (2021-03-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $177M
Private client RAUM: $185MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 112
Individual clients: 41
High net worth clients: 43
Custody, client assets: $21.2M
SEC number: 801-72078
CRD: 155867
Filings on the tape: 15
First filed: Mar 29, 2012
Latest filed: Mar 15, 2021
Organised: Corporation, California

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
BAKER THOERNER FAMILY TRUST DTD 9/3/1988 FBO CHRIS BAKER AS HER SEPARATE PROPERTY	Shareholder	E	yes	01/2011	Mar 2, 2015	Mar 15, 2021
BAKER, CHRISTIE, ANN	Trustee	F	yes	01/2011	Mar 29, 2012	Mar 15, 2021
BAKER, CHRISTIE, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	01/2011	Mar 29, 2012	Mar 15, 2021

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
2020	Mar 15, 2021	$203M	$177M	4	2	0	n/a	n/a
2019	Feb 26, 2020	$188M	$163M	4	2	0	n/a	n/a
2018	Feb 21, 2019	$163M	$141M	4	2	0	n/a	n/a
2017	Feb 23, 2018	$166M	$149M	3	2	0	n/a	n/a
2016	Mar 9, 2017	$145M	$130M	3	2	n/a	n/a	n/a
2015	Mar 22, 2016	$139M	$121M	4	2	n/a	n/a	n/a
2014	Mar 2, 2015	$137M	$122M	4	2	n/a	n/a	n/a
2013	Mar 21, 2014	$128M	$116M	4	2	n/a	n/a	n/a
2012	Mar 21, 2013	$115M	$100M	3	2	n/a	n/a	n/a
2011	Mar 29, 2012	$103M	$86.0M	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
2020	$203M	$188M	8.2%	$166M	7.0%	4	4	0	0

Relationships

Controls (2)

← BAKER, CHRISTIE, ANNOwnerTRUSTEE, ownership code F, individual
Mar 29, 2012 to presentfactForm ADV
← BAKER THOERNER FAMILY TRUST DTD 9/3/1988 FBO CHRIS BAKER AS HER SEPARATE PROPERTYOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 2, 2015 to presentfactForm ADV

Registered with (1)

← CHRISTIE ANN BAKERAdvisorregistration: previous registration
Jan 28, 2011 to Nov 1, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30e0bbb4-f783-e074-c51e-3dc1412282be
First observed: Mar 29, 2012
Last observed: Mar 15, 2021 67 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.

BAKER & ASSOCIATES

CBT FINANCIAL PLANNING, INC., CRD 155867

IRVINE, CA

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:30e0bbb4-f783-e074-c51e-3dc1412282be

Data as of Mar 15, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:10 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAKER THOERNER FAMILY TRUST DTD 9/3/1988 FBO CHRIS BAKER AS HER SEPARATE PROPERTY

Shareholder

yes

01/2011

Mar 2, 2015

Mar 15, 2021

BAKER, CHRISTIE, ANN

Trustee

yes

01/2011

Mar 29, 2012

Mar 15, 2021

BAKER, CHRISTIE, ANN

CHIEF COMPLIANCE OFFICER

yes

01/2011

Mar 29, 2012

Mar 15, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 15, 2021

$203M

$177M

n/a

2019

Feb 26, 2020

$188M

$163M

n/a

2018

Feb 21, 2019

$163M

$141M

n/a

2017

Feb 23, 2018

$166M

$149M

n/a

2016

Mar 9, 2017

$145M

$130M

n/a

2015

Mar 22, 2016

$139M

$121M

n/a

2014

Mar 2, 2015

$137M

$122M

n/a

2013

Mar 21, 2014

$128M

$116M

n/a

2012

Mar 21, 2013

$115M

$100M

n/a

2011

Mar 29, 2012

$103M

$86.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$203M

$188M

8.2%

$166M

7.0%