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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

GAINESWOOD INVESTMENT MANAGEMENT, INC.

CRD 121715

BALTIMORE, MD

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:33a91ef1-069d-054c-b436-b2f597e32d57

Data as of May 18, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2011 to May 18, 2012
5 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: $53.6MItem 5.F on the latest filing (2012-05-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $30.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 10
Custody, client assets: $10.2M
SEC number: 801-69900
CRD: 121715
Filings on the tape: 5
First filed: Dec 2, 2011
Latest filed: May 18, 2012
Organised: Corporation, Delaware

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, WILLIAM, WENDELL	President	E	yes	01/1996	Dec 2, 2011	May 18, 2012
ENGLAND, MICHELLE, BERNARDIAN	CHIEF COMPLIANCE OFFICER	Na	yes	06/2010	Dec 2, 2011	May 18, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GARP CAPITAL, LLC	n/a	n/a	n/a	N	yes	n/a
GARP RESEARCH & SECURITIES COMPANY	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	n/a	no

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
2011	Mar 22, 2012	$54.1M	$31.2M	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
2011	$53.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← BAKER, WILLIAM, WENDELLOwnerPRESIDENT, ownership code E, individual
Dec 2, 2011 to presentfactForm ADV
← ENGLAND, MICHELLE, BERNARDIANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV

Registered with (3)

← SETH CHRISTOPHER DADDSAdvisorregistration: previous registration
May 26, 2005 to Aug 27, 2012factForm ADV
← Diron TappinAdvisorregistration: previous registration
Oct 21, 2011 to Aug 20, 2012factForm ADV
← Brett Dale CarsonAdvisorregistration: previous registration
Aug 23, 2001 to Sep 9, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33a91ef1-069d-054c-b436-b2f597e32d57
First observed: Dec 2, 2011
Last observed: May 18, 2012 174 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.

GAINESWOOD INVESTMENT MANAGEMENT, INC.

CRD 121715

BALTIMORE, MD

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:33a91ef1-069d-054c-b436-b2f597e32d57

Data as of May 18, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAKER, WILLIAM, WENDELL

President

yes

01/1996

Dec 2, 2011

May 18, 2012

ENGLAND, MICHELLE, BERNARDIAN

CHIEF COMPLIANCE OFFICER

yes

06/2010

Dec 2, 2011

May 18, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GARP CAPITAL, LLC

n/a

yes

n/a

GARP RESEARCH & SECURITIES COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Scottsdale

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 22, 2012

$54.1M

$31.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$53.6M

n/a