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
James Warren Baker
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
1 y
since May 1, 2025
In the industry
30 y
since Feb 6, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince May 1, 2025 · Dover, Pa
- Grove Point Advisors, LLC formerApr 1, 2021 to May 1, 2025 · Rockville, Md
- H. Beck, Inc. formerDec 5, 2017 to Apr 1, 2021 · Rockville, Md
- Fsc Securities Corporation formerFeb 17, 2004 to Dec 8, 2017 · York, Pa
- Waddell & Reed formerJul 17, 1998 to Feb 18, 2004 · Harrisburg, Pa
Moves
a registration end followed by a registration begin elsewhere
- Grove Point Advisors, LLC to LPL Financial LLCleft May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- H. Beck, Inc. to Grove Point Advisors, LLCleft Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- Fsc Securities Corporation to H. Beck, Inc.left Dec 8, 2017, registered Dec 5, 2017 (-3 days) · Other
- Waddell & Reed to Fsc Securities Corporationleft Feb 18, 2004, registered Feb 17, 2004 (-1 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address