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.

Former SEC-registered adviser

Baker & Associates

Former SEC-registered adviserIrvine, CaliforniaCRD 155867SEC 801-72078IAPD
Legal name Cbt Financial Planning, Inc.
Latest filing Mar 15, 2021
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$203M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
91%
$185M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$203M as of Mar 15, 2021
Mar 29, 2012$103M then
HNW client RAUM$171M as of Mar 15, 2021
Feb 23, 2018$140M then
State-registered IARs (5.B.3)2 as of Mar 15, 2021
Mar 29, 20120 then
Employees (5.A)4 as of Mar 15, 2021
Mar 21, 20133 then
Private funds: no history
RAUM +8.2% over the last fiscal year+7.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 15, 2021; every figure names its basis
RAUM per advisor
$102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$21.2M, 84 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$171M84%
  • Pension and profit-sharing plans$17.7M8.7%
  • Individuals$13.7M6.7%
  • Corporations and businesses$374,6790.2%
Individual clients
41reported
HNW clients
43reported
Pension plan clients
10reported
Charitable clients
n/areported
Accounts
112reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$21.2M for 84 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ann Christie Baker · Chief Compliance Officercontrol
    since 01/2011 · owns less than 5%
  • Ann Christie Baker · Trusteecontrol
    since 01/2011 · owns F of Baker Thoerner Family Trust Dtd 9/3/1988 Fbo Chris Baker As Her Separate Property
Entity owners
  • Baker Thoerner Family Trust Dtd 9/3/1988 Fbo Chris Baker As Her Separate Property · Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 464 to 112
    Jun 17, 2020 to Mar 15, 2021
  • HNW clients · 40 to 43
    Jun 17, 2020 to Mar 15, 2021
  • Individual clients · 46 to 41
    Jun 17, 2020 to Mar 15, 2021
  • Assets in custody · $17.2M to $21.2M
    Jun 17, 2020 to Mar 15, 2021
  • Discretionary RAUM · $163M to $177M
    Jun 17, 2020 to Mar 15, 2021
  • HNW RAUM · $155M to $171M
    Jun 17, 2020 to Mar 15, 2021
  • Individual RAUM · $17.3M to $13.7M
    Jun 17, 2020 to Mar 15, 2021
  • Non-discretionary RAUM · $24.9M to $26.3M
    Jun 17, 2020 to Mar 15, 2021
  • Pension RAUM · $15.0M to $17.7M
    Jun 17, 2020 to Mar 15, 2021
  • RAUM · $188M to $203M
    Jun 17, 2020 to Mar 15, 2021
  • Accounts · 439 to 464
    Feb 21, 2019 to Feb 26, 2020
  • HNW clients · 36 to 40
    Feb 21, 2019 to Feb 26, 2020
  • Individual clients · 51 to 46
    Feb 21, 2019 to Feb 26, 2020
  • Pension plan clients · 9 to 10
    Feb 21, 2019 to Feb 26, 2020
  • Assets in custody · $6.3M to $17.2M
    Feb 21, 2019 to Feb 26, 2020
  • Discretionary RAUM · $141M to $163M
    Feb 21, 2019 to Feb 26, 2020
  • HNW RAUM · $133M to $155M
    Feb 21, 2019 to Feb 26, 2020
  • Individual RAUM · $17.7M to $17.3M
    Feb 21, 2019 to Feb 26, 2020
  • Non-discretionary RAUM · $21.6M to $24.9M
    Feb 21, 2019 to Feb 26, 2020
  • Pension RAUM · $11.6M to $15.0M
    Feb 21, 2019 to Feb 26, 2020
  • RAUM · $163M to $188M
    Feb 21, 2019 to Feb 26, 2020
  • Accounts · 391 to 439
    Feb 23, 2018 to Feb 21, 2019
  • HNW clients · 33 to 36
    Feb 23, 2018 to Feb 21, 2019
  • Individual clients · 45 to 51
    Feb 23, 2018 to Feb 21, 2019
  • Pension plan clients · 8 to 9
    Feb 23, 2018 to Feb 21, 2019
  • Assets in custody · $5.8M to $6.3M
    Feb 23, 2018 to Feb 21, 2019
  • Employees · 3 to 4
    Feb 23, 2018 to Feb 21, 2019
  • Discretionary RAUM · $149M to $141M
    Feb 23, 2018 to Feb 21, 2019
  • HNW RAUM · $140M to $133M
    Feb 23, 2018 to Feb 21, 2019
  • Individual RAUM · $16.2M to $17.7M
    Feb 23, 2018 to Feb 21, 2019
  • Non-discretionary RAUM · $16.8M to $21.6M
    Feb 23, 2018 to Feb 21, 2019
  • Pension RAUM · $9.0M to $11.6M
    Feb 23, 2018 to Feb 21, 2019
  • RAUM · $166M to $163M
    Feb 23, 2018 to Feb 21, 2019
  • Accounts · 389 to 391
    Apr 20, 2017 to Feb 23, 2018
  • HNW clients · unset to 33.0
    Apr 20, 2017 to Feb 23, 2018
  • Individual clients · unset to 45.0
    Apr 20, 2017 to Feb 23, 2018
  • Pension plan clients · unset to 8.0
    Apr 20, 2017 to Feb 23, 2018
  • Assets in custody · unset to 5780881.0
    Apr 20, 2017 to Feb 23, 2018
  • Custody of client assets · false to true
    Apr 20, 2017 to Feb 23, 2018
  • Other offices · unset to 0.0
    Apr 20, 2017 to Feb 23, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026