DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Lewis D Baker
Certified Financial Planner
Feed of 09/14/2026
Also filed as Lew D Baker
At current firm
2 y
since Jul 23, 2024
In the industry
31 y
since Nov 16, 1994 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Farther independent RIA currentsince Jul 23, 2024 · Silver Spring, Md
- Rock Creek Wealth Planners And Advisors LLC formerMay 3, 2019 to Oct 11, 2024 · Silver Spring, Md
- Coliseum Wealth Management, LLC unclassifiedOct 18, 2018 to Jun 24, 2019 · Silver Spring, Md
- United Planners' Financial Services Of America A Limited Partner independent RIASep 2, 2008 to Sep 24, 2018 · Atlanta, Ga
- Berthel Fisher & Company Financial Services, Inc. BD affiliatedOct 3, 2007 to Jul 16, 2008 · Elkridge, Md
- Piedmont Investment Advisors, LLC formerJan 23, 2007 to Oct 2, 2007 · Lansdowne, Va
- Baker Schilling, Inc. unclassifiedJul 8, 2003 to Nov 14, 2006 · Washington, Dc
- LPL Financial LLC BD affiliatedDec 4, 2002 to Apr 22, 2004 · Washington, Dc
- Morgan Stanley Dw Inc. unclassifiedAug 4, 1999 to Dec 3, 2002 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- Rock Creek Wealth Planners And Advisors LLC to Fartherleft Oct 11, 2024, registered Jul 23, 2024 (-80 days) · RIA to RIA
- Coliseum Wealth Management, LLC to Rock Creek Wealth Planners And Advisors LLCleft Jun 24, 2019, registered May 3, 2019 (-52 days) · Other · moved with a team
- United Planners' Financial Services Of America A Limited Partner to Coliseum Wealth Management, LLCleft Sep 24, 2018, registered Oct 18, 2018 (24 days) · Other
- Berthel Fisher & Company Financial Services, Inc. to United Planners' Financial Services Of America A Limited Partnerleft Jul 16, 2008, registered Sep 2, 2008 (48 days) · Other
- Piedmont Investment Advisors, LLC to Berthel Fisher & Company Financial Services, Inc.left Oct 2, 2007, registered Oct 3, 2007 (1 days) · Other
- Baker Schilling, Inc. to Piedmont Investment Advisors, LLCleft Nov 14, 2006, registered Jan 23, 2007 (70 days) · Other
- LPL Financial LLC to Baker Schilling, Inc.left Apr 22, 2004, registered Jul 8, 2003 (-289 days) · Other
- Morgan Stanley Dw Inc. to LPL Financial LLCleft Dec 3, 2002, registered Dec 4, 2002 (1 days) · Other
Signals
- Lewis D Baker left Rock Creek Wealth Planners And Advisors Llc for Farther (registered 2024-07-23)Oct 11, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address