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.
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SEC-registered adviser
B••••• I••••••••• M•••••••••
Legal name B••••• B••••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Mar 13, 2012 · 26 filings
SEC status approved since May 1, 1959
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.1B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$233M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.2B as of Mar 11, 2026
Mar 13, 2012$208M then
HNW client RAUM$1.1B as of Mar 11, 2026
Mar 26, 2018$411M then
State-registered IARs (5.B.3)5 as of Mar 11, 2026
Mar 18, 20131 then
Employees (5.A)7 as of Mar 11, 2026
Mar 18, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $163M, 51 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B90%
- Individuals$66.2M5.7%
- Charitable organizations$22.3M1.9%
- Corporations and businesses$17.2M1.5%
- Pension and profit-sharing plans$9.3M0.8%
- Individual clients
- 203reported
- HNW clients
- 222reported
- Pension plan clients
- 9reported
- Charitable clients
- 5reported
- Accounts
- 1,057reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $163M for 51 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J••••• B••••• | Greenwich, Ct | Jul 15, 2002 | 37 y | 0 |
| J••• C• B••••• | Greenwich, Ct | Apr 24, 2003 | 26 y | 0 |
| D•••• L••• H••• | Riverside, Ct | Mar 25, 2019 | 36 y | 0 |
| W•••••• J••••• B••••• | Riverside, Ct | Feb 28, 2020 | 13 y | 1 |
| J••••••• B••••••• S•••• | Greenwich, Ct | Nov 24, 2025 | 26 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R••••• L••••• B••••••• to R••• A••••••• L••Sep 7, 2017 · Other
- G•••• R• E••••••••• to P••••••• A••••••••• L•••Mar 3, 2009 · Other
Joined, latest
- W•••••• J••••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 28, 2020 · Wirehouse to independent RIA
- R••••• L••••• B••••••• from S•••••• F•••••••• G••••• L••Feb 23, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••• · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
- B•••••• W••••••• J••••• · President, Secty, Treascontrolsince 01/1989 · owns 50% to 75%
- B•••••• J•••• C• · Principal, Portfolio Managersince 03/2009 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwich, Ct | 3 | 1 | 0 | ||
| Riverside, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 11, 2026B•••••• C••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2012-03-13 and 2026-03-11peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,032 to 1,057Dec 2, 2025 to Mar 11, 2026
- Charity clients · 6 to 5Dec 2, 2025 to Mar 11, 2026
- HNW clients · 206 to 222Dec 2, 2025 to Mar 11, 2026
- Individual clients · 198 to 203Dec 2, 2025 to Mar 11, 2026
- Pension plan clients · 17 to 9Dec 2, 2025 to Mar 11, 2026
- Assets in custody · $23.3M to $163MDec 2, 2025 to Mar 11, 2026
- Discretionary RAUM · $1.0B to $1.2BDec 2, 2025 to Mar 11, 2026
- HNW RAUM · $891M to $1.1BDec 2, 2025 to Mar 11, 2026
- Individual RAUM · $68.7M to $66.2MDec 2, 2025 to Mar 11, 2026
- Pension RAUM · $10.9M to $9.3MDec 2, 2025 to Mar 11, 2026
- RAUM · $1.0B to $1.2BDec 2, 2025 to Mar 11, 2026
- Accounts · 985 to 1,032Apr 2, 2024 to Mar 24, 2025
- Corporate clients · 6 to 7Apr 2, 2024 to Mar 24, 2025
- HNW clients · 196 to 206Apr 2, 2024 to Mar 24, 2025
- Individual clients · 192 to 198Apr 2, 2024 to Mar 24, 2025
- Pension plan clients · 16 to 17Apr 2, 2024 to Mar 24, 2025
- Assets in custody · $26.3M to $23.3MApr 2, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 26-50Apr 2, 2024 to Mar 24, 2025
- Discretionary RAUM · $915M to $1.0BApr 2, 2024 to Mar 24, 2025
- HNW RAUM · $797M to $891MApr 2, 2024 to Mar 24, 2025
- Individual RAUM · $69.5M to $68.7MApr 2, 2024 to Mar 24, 2025
- Pension RAUM · $16.4M to $10.9MApr 2, 2024 to Mar 24, 2025
- RAUM · $915M to $1.0BApr 2, 2024 to Mar 24, 2025
- Accounts · 932 to 985Mar 30, 2023 to Mar 29, 2024
- Charity clients · 5 to 6Mar 30, 2023 to Mar 29, 2024
- Corporate clients · 10 to 6Mar 30, 2023 to Mar 29, 2024
- HNW clients · 85 to 196Mar 30, 2023 to Mar 29, 2024
- Individual clients · 296 to 192Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · 18 to 16Mar 30, 2023 to Mar 29, 2024
- Assets in custody · unset to 26286802.0Mar 30, 2023 to Mar 29, 2024
- Custody of client assets · false to trueMar 30, 2023 to Mar 29, 2024
- Financial planning clients · 11-25 to 26-50Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $673M to $915MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $411M to $797MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $220M to $69.5MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $11.1M to $16.4MMar 30, 2023 to Mar 29, 2024
- RAUM · $673M to $915MMar 30, 2023 to Mar 29, 2024
- Accounts · 396 to 932Mar 24, 2022 to Mar 30, 2023
- Charity clients · 4 to 5Mar 24, 2022 to Mar 30, 2023
- Corporate clients · 12 to 10Mar 24, 2022 to Mar 30, 2023
Signals
2 dated events
- B••••• I••••••••• M••••••••• reported RAUM $915.1M, up 36% from $673.5M (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- B••••• I••••••••• M••••••••• reported RAUM $671.0M, up 36% from $495.1M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@baxterinvestment.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-637-4559reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/baxter-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-637-4559reportedpublic record, Form ADV, Mar 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $233Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026