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••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 14, 2012 · 28 filings
SEC status approved since May 26, 1999
RAUM
$1.3B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
91%
$1.2B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$432M
derived; firm RAUM over IAPD count
Employees
14
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.3B as of Mar 16, 2026
Mar 14, 2012$246M then
HNW client RAUM$1.1B as of Mar 16, 2026
Mar 27, 2018$587M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 15, 20134 then
Employees (5.A)14 as of Mar 16, 2026
Mar 15, 20136 then
Private funds: no history
RAUM +4.9% over the last fiscal year+8.0% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 16, 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
- $432MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B87%
- Charitable organizations$95.5M7.4%
- Individuals$68.3M5.3%
- Pension and profit-sharing plans$9.1M0.7%
- Individual clients
- 111reported
- HNW clients
- 157reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 707reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• S••••• H•••Chartered Financial Analyst | West Conshohocken, Pa | Apr 17, 2018 | 31 y | 3 |
| J•••• V•• D••• Q•••••• | West Conshohocken, Pa | Jan 20, 2021 | 26 y | 2 |
| D•••• C••••••••• P•••••• | West Conshohocken, Pa | Mar 20, 2026 | 17 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• C••••••••• P•••••• from H•••••••• F•••••••• S•••••••• I•••Mar 20, 2026 · Other
- J•••• V•• D••• Q•••••• from B••• S••••••••• L••Jan 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- G••• S••••• H••• from R•• A••••••• I••Apr 17, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• S••••• B•••• · Chief Executive Officercontrolsince 01/2023 · owns 10% to 25%
- H•••••• P••••• H••••••••• · Chairman Of Board Of Managerscontrolsince 05/1999 · owns 10% to 25%
- M•••••• C••••••••• M••••••• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
Entity owners
- B•••••• M••••••••• L•• · Sole Memberdirect · owns 75% or more
- W• P••• H•••••• J•• A•• I•• H• H••••• T•••• F•••• P•••• H• H••••• · Majority Interest Holderindirect · owns 25% to 50% of B•••••• Management LLC
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 |
|---|---|---|---|---|---|
| West Conshohocken, Pa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Chester, PA2 employees
- West Chester, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 685 to 707Apr 10, 2025 to Mar 16, 2026
- Advisory employees · 8 to 11Apr 10, 2025 to Mar 16, 2026
- Charity clients · 5 to 10Apr 10, 2025 to Mar 16, 2026
- HNW clients · 165 to 157Apr 10, 2025 to Mar 16, 2026
- Individual clients · 106 to 111Apr 10, 2025 to Mar 16, 2026
- Assets in custody · unset to 1220785618.0Apr 10, 2025 to Mar 16, 2026
- Employees · 12 to 14Apr 10, 2025 to Mar 16, 2026
- Financial planning clients · 1-10 to 26-50Apr 10, 2025 to Mar 16, 2026
- State-registered IARs · 2 to 1Apr 10, 2025 to Mar 16, 2026
- Discretionary RAUM · $937M to $1.0BApr 10, 2025 to Mar 16, 2026
- HNW RAUM · $1.1B to $1.1BApr 10, 2025 to Mar 16, 2026
- Individual RAUM · $42.2M to $68.3MApr 10, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $297M to $259MApr 10, 2025 to Mar 16, 2026
- Pension RAUM · $8.0M to $9.1MApr 10, 2025 to Mar 16, 2026
- RAUM · $1.2B to $1.3BApr 10, 2025 to Mar 16, 2026
- Accounts · 745 to 685Mar 14, 2024 to Apr 10, 2025
- Advisory employees · 9 to 8Mar 14, 2024 to Apr 10, 2025
- Charity clients · 8 to 5Mar 14, 2024 to Apr 10, 2025
- HNW clients · 46 to 165Mar 14, 2024 to Apr 10, 2025
- Individual clients · 222 to 106Mar 14, 2024 to Apr 10, 2025
- Employees · 16 to 12Mar 14, 2024 to Apr 10, 2025
- Financial planning clients · 1-10 to 1-10Mar 14, 2024 to Apr 10, 2025
- State-registered IARs · 0 to 2Mar 14, 2024 to Apr 10, 2025
- Other offices · 2 to 1Mar 14, 2024 to Apr 10, 2025
- Discretionary RAUM · $833M to $937MMar 14, 2024 to Apr 10, 2025
- HNW RAUM · $731M to $1.1BMar 14, 2024 to Apr 10, 2025
- Individual RAUM · $268M to $42.2MMar 14, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $255M to $297MMar 14, 2024 to Apr 10, 2025
- Pension RAUM · unset to 7990157.0Mar 14, 2024 to Apr 10, 2025
- RAUM · $1.1B to $1.2BMar 14, 2024 to Apr 10, 2025
- Accounts · 921 to 745Mar 17, 2023 to Mar 14, 2024
- Advisory employees · 8 to 9Mar 17, 2023 to Mar 14, 2024
- HNW clients · 47 to 46Mar 17, 2023 to Mar 14, 2024
- Individual clients · 1,264 to 222Mar 17, 2023 to Mar 14, 2024
- Employees · 12 to 16Mar 17, 2023 to Mar 14, 2024
- State-registered IARs · 4 to 0Mar 17, 2023 to Mar 14, 2024
- Discretionary RAUM · $686M to $833MMar 17, 2023 to Mar 14, 2024
- HNW RAUM · $647M to $731MMar 17, 2023 to Mar 14, 2024
- Individual RAUM · $302M to $268MMar 17, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $342M to $255MMar 17, 2023 to Mar 14, 2024
Signals
4 dated events
- Michelle Christina Mccloy (Chief Compliance Officer) appeared on Schedule A of B•••••• I••••••••• M••••••••• L••Mar 14, 2024 · Control person joined · fact
- Berry Susan Gorelli (Chief Executive Officer) appeared on Schedule A of B•••••• I••••••••• M••••••••• L••Mar 17, 2023 · Control person joined · fact
- B•••••• I••••••••• M••••••••• L•• reported RAUM $1.0B, up 26% from $801.3M (2021-01-20 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- B•••••• I••••••••• M••••••••• L•• reported RAUM $674.8M, up 107% from $325.3M (2017-03-16 to 2018-03-27)Mar 27, 2018 · 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@baldwinmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- fishkillinfo@baldwinmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-696-3689reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 845-897-9650reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-260-1555reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/baldwin-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- baldwinmgt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-260-1555reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- baldwinmgt.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $432Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026