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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

BAJA WEALTH ADVISORS LLC

CRD 289592

NEW YORK, NY

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:4ab44f9d-4022-0d65-5e3d-d72ce74408da

Data as of Aug 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 24
On other graphs: 0
Observed: Oct 3, 2017 to Aug 15, 2024
27 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: $72.6MItem 5.F on the latest filing (2024-08-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $20.8M
Private client RAUM: $55.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 76%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 14
Individual clients: 6
High net worth clients: 6
Custody, client assets: $35.3M
SEC number: 801-111997
CRD: 289592
Filings on the tape: 27
First filed: Oct 3, 2017
Latest filed: Aug 15, 2024
Organised: Limited Liability Company, Delaware
Website: bwa-mx.com

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
BAJA HOLDINGS, LLC	Member	D	yes	09/2021	Sep 14, 2021	Aug 15, 2024
CERITY PARTNERS EOE LLC	Member	C	yes	09/2018	Dec 18, 2018	Aug 15, 2024
CERITY PARTNERS EQUITY HOLDING LLC	Member	E	yes	09/2018	Dec 18, 2018	Aug 15, 2024
CERITY PARTNERS LLC	Member	D	yes	08/2017	Oct 3, 2017	Aug 15, 2024
CP HOLDINGS I LLC	Member	E	yes	07/2022	Oct 17, 2022	Aug 15, 2024
CP INTERMEDIATE I LLC	Member	E	yes	07/2022	Oct 17, 2022	Aug 15, 2024
CP INTERMEDIATE II LLC	Member	E	yes	07/2022	Oct 17, 2022	Aug 15, 2024
CP MERGER I LLC	Member	E	yes	07/2022	Oct 17, 2022	Aug 15, 2024
CP MERGER II LLC	Member	E	yes	07/2022	Oct 17, 2022	Aug 15, 2024
CP-ACP LLC	Member	E	yes	01/2023	Jan 23, 2023	Aug 15, 2024
CP-MCM LLC	Member	E	yes	01/2023	Jan 23, 2023	Aug 15, 2024
CP-RTS LLC	Member	E	yes	11/2022	Jan 23, 2023	Aug 15, 2024
GENSTAR CAPITAL PARTNERS X, L.P.	Member	C	yes	07/2022	Aug 10, 2022	Aug 15, 2024
GENSTAR CAPITAL X, L.P.	GENERAL PARTNER	F	yes	07/2022	Aug 10, 2022	Aug 15, 2024
GENSTAR X GP LLC	GENERAL PARTNER	F	yes	07/2022	Aug 10, 2022	Aug 15, 2024
HILDEN, KEVIN, DAVID	CHIEF OPERATING OFFICER	Na	yes	05/2018	Dec 18, 2018	Aug 15, 2024
MISCINSKI, KURT, PATRICK	Manager	F	yes	11/2017	Oct 3, 2017	Aug 15, 2024
MISCINSKI, KURT, PATRICK	President	Na	yes	08/2017	Oct 3, 2017	Aug 15, 2024
MORENO GARCIA, MARCO, A	SOLE MEMBER	E	yes	09/2021	Sep 14, 2021	Aug 15, 2024
PROSTICK, ARTHUR, ISOM	CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Mar 28, 2024	Aug 15, 2024
QUINLAN, NEIL, LAWRENCE	DIRECTOR OF OPERATIONS	Na	yes	04/2023	Jul 5, 2023	Aug 15, 2024
SECO, ROBERT, JOSEPH	GENERAL COUNSEL	Na	yes	08/2017	Oct 3, 2017	Aug 15, 2024
Shah, Suketu, Chitranjan	CHIEF FINANCIAL OFFICER	Na	yes	07/2024	Aug 15, 2024	Aug 15, 2024

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
CERITY PARTNERS LLC	n/a	Independent wealth	$162B	Y	yes	n/a
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC	n/a	Institutional manager	$40B	Y	yes	n/a
CERITY PARTNERS OCIO LLC	n/a	Institutional manager	$21B	N	yes	n/a
SAGE ADVISORS, LLC	n/a	Asset manager	$366M	N	yes	n/a
ARGI ALTERNATIVE INVESTMENT MANAGEMENT COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a
CP RISK MANAGEMENT SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
PMOF HOLDINGS LLC	n/a	n/a	n/a	N	yes	n/a

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
2023	Mar 28, 2024	$72.6M	$20.8M	6	6	0	n/a	n/a
2022	Mar 31, 2023	$83.4M	$24.4M	5	3	0	n/a	n/a
2021	Mar 29, 2022	$91.0M	$10.5M	5	3	0	n/a	n/a
2020	Mar 29, 2021	$71.0M	$8.2M	5	3	0	n/a	n/a
2019	Mar 27, 2020	$58.6M	$6.8M	5	3	0	n/a	n/a
2018	Mar 31, 2019	$60.5M	$6.0M	4	3	1	n/a	n/a
2017	Mar 29, 2018	$6.9M	$6.9M	8	2	1	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
2023	$72.6M	$83.4M	-13.0%	$71.0M	0.7%	6	5	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CERITY PARTNERS LLC	2	Feb 12, 2025	Apr 7, 2022	NEW YORK, NY	Team lift out	RIA to RIA	100.0%

Relationships

Affiliated with (10)

← CERITY PARTNERS RETIREMENT PLAN CONSULTANTSRegistered adviserother investment adviser, common control
factForm ADV
← SAGE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CERITY PARTNERS LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← CERITY PARTNERS OCIO LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SAGE ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CERITY PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ CERITY PARTNERS OCIO LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CERITY PARTNERS RETIREMENT PLAN CONSULTANTSRegistered adviserother investment adviser, LP sponsor, control, common control
factForm ADV
← ROUND TABLE WEALTH MANAGEMENTRegistered adviserother investment adviser, control, common control
factForm ADV
← COVINGTON CAPITAL MANAGEMENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (22)

← CERITY PARTNERS LLCOwnerMEMBER, ownership code D, domestic entity
Oct 3, 2017 to presentfactForm ADV
← PROSTICK, ARTHUR, ISOMOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2024 to presentfactForm ADV
← MISCINSKI, KURT, PATRICKOwnerMANAGER, ownership code F, individual
Oct 3, 2017 to presentfactForm ADV
← QUINLAN, NEIL, LAWRENCEOwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Jul 5, 2023 to presentfactForm ADV
← HILDEN, KEVIN, DAVIDOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 18, 2018 to presentfactForm ADV
← SECO, ROBERT, JOSEPHOwnerGENERAL COUNSEL, ownership code NA, individual
Oct 3, 2017 to presentfactForm ADV
← Shah, Suketu, ChitranjanOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Aug 15, 2024 to presentfactForm ADV
← MORENO GARCIA, MARCO, AOwnerSOLE MEMBER, ownership code E, individual
Sep 14, 2021 to presentfactForm ADV
← BAJA HOLDINGS, LLCOwnerMEMBER, ownership code D, domestic entity
Sep 14, 2021 to presentfactForm ADV
← CERITY PARTNERS EOE LLCOwnerMEMBER, ownership code C, domestic entity
Dec 18, 2018 to presentfactForm ADV
← CERITY PARTNERS EQUITY HOLDING LLCOwnerMEMBER, ownership code E, domestic entity
Dec 18, 2018 to presentfactForm ADV
← CP HOLDINGS I LLCOwnerMEMBER, ownership code E, domestic entity
Oct 17, 2022 to presentfactForm ADV
← CP INTERMEDIATE I LLCOwnerMEMBER, ownership code E, domestic entity
Oct 17, 2022 to presentfactForm ADV
← CP INTERMEDIATE II LLCOwnerMEMBER, ownership code E, domestic entity
Oct 17, 2022 to presentfactForm ADV
← CP MERGER I LLCOwnerMEMBER, ownership code E, domestic entity
Oct 17, 2022 to presentfactForm ADV
← CP MERGER II LLCOwnerMEMBER, ownership code E, domestic entity
Oct 17, 2022 to presentfactForm ADV
← CP-ACP LLCOwnerMEMBER, ownership code E, domestic entity
Jan 23, 2023 to presentfactForm ADV
← CP-MCM LLCOwnerMEMBER, ownership code E, domestic entity
Jan 23, 2023 to presentfactForm ADV
← CP-RTS LLCOwnerMEMBER, ownership code E, domestic entity
Jan 23, 2023 to presentfactForm ADV
← GENSTAR CAPITAL PARTNERS X, L.P.OwnerMEMBER, ownership code C, domestic entity
Aug 10, 2022 to presentfactForm ADV
← GENSTAR CAPITAL X, L.P.OwnerGENERAL PARTNER, ownership code F, domestic entity
Aug 10, 2022 to presentfactForm ADV
← GENSTAR X GP LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Aug 10, 2022 to presentfactForm ADV

Registered with (2)

← LAWRENCE BEN WEISSMANAdvisorregistration: previous registration
Apr 7, 2022 to Feb 12, 2025factForm ADV
← BENJAMIN ALBERT PACEAdvisorregistration: previous registration
Aug 12, 2021 to Feb 12, 2025factForm ADV

Moved with (1)

→ CERITY PARTNERS LLCRegistered adviser2 advisors, team lift out, same day
Feb 12, 2025 to Apr 7, 2022factForm ADV

Dated events

Occurred
Mar 6, 2025
Left the SEC roster
Baja Wealth Advisors Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $72.6M)
Form ADVobserved 5 days ago
$72.6M
Occurred
Feb 12, 2025
Team lift-out
2 advisors left Baja Wealth Advisors LLC (New York, NY) for Cerity Partners LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Feb 12, 2025
Advisor changed firm
Benjamin Albert Pace left Baja Wealth Advisors Llc for Cerity Partners Llc (registered 2021-08-12)
Form ADVobserved 5 days ago
Occurred
Feb 12, 2025
Advisor changed firm
Lawrence Ben Weissman left Baja Wealth Advisors Llc for Cerity Partners Llc (registered 2022-04-07)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2024
Control person left
A Benjamin Pace (Chief Investment Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2024-03-28, absent 2024-08-15)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2024
Control person left
George Christopher Curtis (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2024-03-28, absent 2024-08-15)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2024
Control person joined
Chitranjan Suketu Shah (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person joined
Isom Arthur Prostick (Chief Compliance Officer) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Jul 5, 2023
Control person joined
Lawrence Neil Quinlan (Director Of Operations) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Jul 5, 2023
Control person left
Elizabeth Nancy Renshaw (Chief Compliance Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2023-03-31, absent 2023-07-05)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
Elizabeth Nancy Renshaw (Chief Compliance Officer) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person left
Ashley Stuart Evans (Chief Compliance Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2023-02-15, absent 2023-03-31)
Form ADVobserved 5 days ago
Occurred
Oct 17, 2022
Control person left
Alexandra Maria Hodi (Chief Administrative Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2022-08-10, absent 2022-10-17)
Form ADVobserved 5 days ago
Occurred
Sep 14, 2021
Control person left
Antonio Marco Moreno (Manager) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2021-07-19, absent 2021-09-14)
Form ADVobserved 5 days ago
Occurred
Sep 14, 2021
Control person left
Javier Domingo Moreno (Owner) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2021-07-19, absent 2021-09-14)
Form ADVobserved 5 days ago
Occurred
Sep 14, 2021
Control person joined
A Marco Moreno Garcia (Sole Member) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Mar 29, 2021
Control person joined
G. Christopher Curtis (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Jan 4, 2021
Control person left
Kathryn Joan Rockey (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2020-09-18, absent 2021-01-04)
Form ADVobserved 5 days ago
Occurred
Sep 18, 2020
Control person joined
Ashley Stuart Evans (Chief Compliance Officer) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Mar 27, 2020
Control person joined
Kathryn Joan Rockey (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Jul 29, 2019
Control person left
Brent Coles (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2019-03-31, absent 2019-07-29)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2019
Control person left
Eric Lawrence Sussman (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2019-01-07, absent 2019-03-31)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2019
Control person joined
Brent Coles (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Oct 3, 2017
First Form ADV filing
Baja Wealth Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ab44f9d-4022-0d65-5e3d-d72ce74408da
First observed: Oct 3, 2017
Last observed: Aug 15, 2024 25 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.

BAJA WEALTH ADVISORS LLC

CRD 289592

NEW YORK, NY

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:4ab44f9d-4022-0d65-5e3d-d72ce74408da

Data as of Aug 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:32 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAJA HOLDINGS, LLC

Member

yes

09/2021

Sep 14, 2021

Aug 15, 2024

CERITY PARTNERS EOE LLC

Member

yes

09/2018

Dec 18, 2018

Aug 15, 2024

CERITY PARTNERS EQUITY HOLDING LLC

Member

yes

09/2018

Dec 18, 2018

Aug 15, 2024

CERITY PARTNERS LLC

Member

yes

08/2017

Oct 3, 2017

Aug 15, 2024

CP HOLDINGS I LLC

Member

yes

07/2022

Oct 17, 2022

Aug 15, 2024

CP INTERMEDIATE I LLC

Member

yes

07/2022

Oct 17, 2022

Aug 15, 2024

CP INTERMEDIATE II LLC

Member

yes

07/2022

Oct 17, 2022

Aug 15, 2024

CP MERGER I LLC

Member

yes

07/2022

Oct 17, 2022

Aug 15, 2024

CP MERGER II LLC

Member

yes

07/2022

Oct 17, 2022

Aug 15, 2024

CP-ACP LLC

Member

yes

01/2023

Jan 23, 2023

Aug 15, 2024

CP-MCM LLC

Member

yes

01/2023

Jan 23, 2023

Aug 15, 2024

CP-RTS LLC

Member

yes

11/2022

Jan 23, 2023

Aug 15, 2024

GENSTAR CAPITAL PARTNERS X, L.P.

Member

yes

07/2022

Aug 10, 2022

Aug 15, 2024

GENSTAR CAPITAL X, L.P.

GENERAL PARTNER

yes

07/2022

Aug 10, 2022

Aug 15, 2024

GENSTAR X GP LLC

GENERAL PARTNER

yes

07/2022

Aug 10, 2022

Aug 15, 2024

HILDEN, KEVIN, DAVID

CHIEF OPERATING OFFICER

yes

05/2018

Dec 18, 2018

Aug 15, 2024

MISCINSKI, KURT, PATRICK

Manager

yes

11/2017

Oct 3, 2017

Aug 15, 2024

MISCINSKI, KURT, PATRICK

President

yes

08/2017

Oct 3, 2017

Aug 15, 2024

MORENO GARCIA, MARCO, A

SOLE MEMBER

yes

09/2021

Sep 14, 2021

Aug 15, 2024

PROSTICK, ARTHUR, ISOM

CHIEF COMPLIANCE OFFICER

yes

03/2024

Mar 28, 2024

Aug 15, 2024

QUINLAN, NEIL, LAWRENCE

DIRECTOR OF OPERATIONS

yes

04/2023

Jul 5, 2023

Aug 15, 2024

SECO, ROBERT, JOSEPH

GENERAL COUNSEL

yes

08/2017

Oct 3, 2017

Aug 15, 2024

Shah, Suketu, Chitranjan

CHIEF FINANCIAL OFFICER

yes

07/2024

Aug 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CERITY PARTNERS LLC

n/a

Independent wealth

$162B

yes

n/a

CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC

n/a

Institutional manager

$40B

yes

n/a

CERITY PARTNERS OCIO LLC

n/a

Institutional manager

$21B

yes

n/a

SAGE ADVISORS, LLC

n/a

Asset manager

$366M

yes

n/a

ARGI ALTERNATIVE INVESTMENT MANAGEMENT COMPANY, LLC

n/a

yes

n/a

CP RISK MANAGEMENT SERVICES LLC

n/a

yes

n/a

PMOF HOLDINGS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 28, 2024

$72.6M

$20.8M

n/a

2022

Mar 31, 2023

$83.4M

$24.4M

n/a

2021

Mar 29, 2022

$91.0M

$10.5M

n/a

2020

Mar 29, 2021

$71.0M

$8.2M

n/a

2019

Mar 27, 2020

$58.6M

$6.8M

n/a

2018

Mar 31, 2019

$60.5M

$6.0M

n/a

2017

Mar 29, 2018

$6.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$72.6M

$83.4M

-13.0%

$71.0M

0.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CERITY PARTNERS LLC

Feb 12, 2025

Apr 7, 2022

NEW YORK, NY

Team lift out

RIA to RIA

100.0%