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
Baja Wealth Advisors LLC
Latest filing Aug 15, 2024
First filing on the tape Oct 3, 2017 · 27 filings
SEC status approved since Nov 3, 2017
RAUM
$72.6M
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
76%
$55.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$72.6M as of Mar 28, 2024
Mar 29, 2018$6.9M then
HNW client RAUM$52.3M as of Mar 28, 2024
Mar 29, 2022$2.6M then
State-registered IARs (5.B.3)2 as of Mar 28, 2024
Mar 29, 20180 then
Employees (5.A)6 as of Mar 28, 2024
Mar 29, 20188 then
Private funds: no history
RAUM -13% over the last fiscal year+0.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 15, 2024; every figure names its basis
- RAUM per advisor
- $36.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +50%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $35.3M, 10 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$52.3M72%
- Corporations and businesses$17.3M24%
- Individuals$3.0M4.2%
- Individual clients
- 6reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $35.3M for 10 clientsreported
- Compensation
- % of AUMreported
- 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
- Lawrence Ben Weissman to Cerity Partners LLCFeb 12, 2025 · RIA to RIA
- Benjamin Albert Pace to Cerity Partners LLCFeb 12, 2025 · RIA to RIA
Joined, latest
- Lawrence Ben Weissman from Ladenburg Thalmann Asset Management IncApr 7, 2022 · Other
- Benjamin Albert Pace from Deutsche Bank Securities Inc.Aug 12, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Cerity Partners LLCFeb 12, 2025 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Kevin Hilden · Chief Operating Officercontrolsince 05/2018 · owns less than 5%
- Patrick Kurt Miscinski · Presidentcontrolsince 08/2017 · owns less than 5%
- Isom Arthur Prostick · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Lawrence Neil Quinlan · Director Of Operationscontrolsince 04/2023 · owns less than 5%
- Joseph Robert Seco · General Counselcontrolsince 08/2017 · owns less than 5%
- Chitranjan Suketu Shah · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- Patrick Kurt Miscinski · Managercontrolsince 11/2017 · owns F of Cerity Partners Eoe LLC
- A Marco Moreno Garcia · Sole Membercontrolsince 09/2021 · owns 75% or more of Baja Holdings, LLC
Entity owners
- Baja Holdings, LLC · Memberdirect · owns 50% to 75%
- Cerity Partners LLC · Memberdirect · owns 50% to 75%
- Cerity Partners Eoe LLC · Memberindirect · owns 25% to 50% of Cp Holdings I LLC
- Cerity Partners Equity Holding LLC · Memberindirect · owns 75% or more of Cerity Partners LLC
- Cp Holdings I LLC · Memberindirect · owns 75% or more of Cp-Acp LLC
- Cp Intermediate I LLC · Memberindirect · owns 75% or more of Cp Intermediate II LLC
- Cp Intermediate II LLC · Memberindirect · owns 75% or more of Cp Merger I LLC
- Cp Merger I LLC · Memberindirect · owns 75% or more of Cp Merger II LLC
- Cp Merger II LLC · Memberindirect · owns 75% or more of Cerity Partners Equity Holding LLC
- Cp-Acp LLC · Memberindirect · owns 75% or more of Cp-Mcm LLC
- Cp-Mcm LLC · Memberindirect · owns 75% or more of Cp-Rts LLC
- Cp-Rts LLC · Memberindirect · owns 75% or more of Cp Intermediate I LLC
- Genstar Capital Partners X, L.P. · Memberindirect · owns 25% to 50% of Cp Holdings I LLC
- Genstar Capital X, L.P. · General Partnerindirect · owns F of Genstar Capital Partners X, L.P.
- Genstar X Gp LLC · General Partnerindirect · owns F of Genstar Capital X, L.P.
Related persons
Schedule D 7.A
- Argi Alternative Investment Management Company, LLCpooled vehicle sponsorn
- Cerity Partners LLCinvestment adviserpooled vehicle sponsoryRAUM $162B
- Cerity Partners Ocio LLCinvestment advisernRAUM $21B
- Cerity Partners Retirement Plan Consultantsinvestment adviserLP sponsoryRAUM $40B
- Cp Risk Management Services LLCreal estaten
- Pmof Holdings LLCpooled vehicle sponsorn
- Sage Advisors, LLCinvestment adviserbankpooled vehicle sponsornRAUM $366M
Advisers that list Baja Wealth Advisors LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 14Jul 5, 2023 to Mar 28, 2024
- Advisory employees · 3 to 6Jul 5, 2023 to Mar 28, 2024
- HNW clients · 5 to 6Jul 5, 2023 to Mar 28, 2024
- Individual clients · 3 to 6Jul 5, 2023 to Mar 28, 2024
- Assets in custody · $28.5M to $35.3MJul 5, 2023 to Mar 28, 2024
- Employees · 5 to 6Jul 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $24.4M to $20.8MJul 5, 2023 to Mar 28, 2024
- HNW RAUM · $61.9M to $52.3MJul 5, 2023 to Mar 28, 2024
- Individual RAUM · $1.4M to $3.0MJul 5, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $59.1M to $51.8MJul 5, 2023 to Mar 28, 2024
- RAUM · $83.4M to $72.6MJul 5, 2023 to Mar 28, 2024
- Accounts · 7 to 10Feb 15, 2023 to Mar 31, 2023
- Corporate clients · 6 to 2Feb 15, 2023 to Mar 31, 2023
- HNW clients · 1 to 5Feb 15, 2023 to Mar 31, 2023
- Individual clients · unset to 3.0Feb 15, 2023 to Mar 31, 2023
- Assets in custody · $21.3M to $28.5MFeb 15, 2023 to Mar 31, 2023
- Insurance-licensed employees · 0 to 2Feb 15, 2023 to Mar 31, 2023
- State-registered IARs · 1 to 2Feb 15, 2023 to Mar 31, 2023
- Discretionary RAUM · $10.5M to $24.4MFeb 15, 2023 to Mar 31, 2023
- HNW RAUM · $2.6M to $61.9MFeb 15, 2023 to Mar 31, 2023
- Individual RAUM · unset to 1353163.0Feb 15, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $80.5M to $59.1MFeb 15, 2023 to Mar 31, 2023
- RAUM · $91.0M to $83.4MFeb 15, 2023 to Mar 31, 2023
- Corporate clients · 7 to 6Sep 14, 2021 to Mar 29, 2022
- HNW clients · unset to 1.0Sep 14, 2021 to Mar 29, 2022
- Assets in custody · $21.0M to $21.3MSep 14, 2021 to Mar 29, 2022
- State-registered IARs · 0 to 1Sep 14, 2021 to Mar 29, 2022
- Discretionary RAUM · $8.2M to $10.5MSep 14, 2021 to Mar 29, 2022
- HNW RAUM · unset to 2576462.0Sep 14, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $62.8M to $80.5MSep 14, 2021 to Mar 29, 2022
- RAUM · $71.0M to $91.0MSep 14, 2021 to Mar 29, 2022
- Accounts · 4 to 7Jan 4, 2021 to Mar 29, 2021
- Corporate clients · unset to 7.0Jan 4, 2021 to Mar 29, 2021
- Assets in custody · $20.2M to $21.0MJan 4, 2021 to Mar 29, 2021
- Discretionary RAUM · $6.8M to $8.2MJan 4, 2021 to Mar 29, 2021
- Non-discretionary RAUM · $51.8M to $62.8MJan 4, 2021 to Mar 29, 2021
- RAUM · $58.6M to $71.0MJan 4, 2021 to Mar 29, 2021
- Accounts · 3 to 4Jan 2, 2020 to Mar 27, 2020
- Assets in custody · $25.8M to $20.2MJan 2, 2020 to Mar 27, 2020
- Discretionary RAUM · $6.0M to $6.8MJan 2, 2020 to Mar 27, 2020
Signals
24 dated events
- Baja Wealth Advisors Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $72.6M)Mar 6, 2025 · Left the SEC roster · derived
- Benjamin Albert Pace left Baja Wealth Advisors Llc for Cerity Partners Llc (registered 2021-08-12)Feb 12, 2025 · Advisor changed firm · fact
- Lawrence Ben Weissman left Baja Wealth Advisors Llc for Cerity Partners Llc (registered 2022-04-07)Feb 12, 2025 · Advisor changed firm · fact
- 2 advisors left Baja Wealth Advisors LLC (New York, NY) for Cerity Partners LLC on the same dayFeb 12, 2025 · Team lift-out · derived
- A Benjamin Pace (Chief Investment Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2024-03-28, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- George Christopher Curtis (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2024-03-28, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- Chitranjan Suketu Shah (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors LlcAug 15, 2024 · Control person joined · fact
- Isom Arthur Prostick (Chief Compliance Officer) appeared on Schedule A of Baja Wealth Advisors LlcMar 28, 2024 · Control person joined · fact
- Lawrence Neil Quinlan (Director Of Operations) appeared on Schedule A of Baja Wealth Advisors LlcJul 5, 2023 · Control person joined · fact
- Elizabeth Nancy Renshaw (Chief Compliance Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2023-03-31, absent 2023-07-05)Jul 5, 2023 · Control person left · inference
- Elizabeth Nancy Renshaw (Chief Compliance Officer) appeared on Schedule A of Baja Wealth Advisors LlcMar 31, 2023 · Control person joined · fact
- Ashley Stuart Evans (Chief Compliance Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2023-02-15, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Alexandra Maria Hodi (Chief Administrative Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2022-08-10, absent 2022-10-17)Oct 17, 2022 · Control person left · inference
- Antonio Marco Moreno (Manager) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2021-07-19, absent 2021-09-14)Sep 14, 2021 · Control person left · inference
- Javier Domingo Moreno (Owner) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2021-07-19, absent 2021-09-14)Sep 14, 2021 · Control person left · inference
- A Marco Moreno Garcia (Sole Member) appeared on Schedule A of Baja Wealth Advisors LlcSep 14, 2021 · Control person joined · fact
- G. Christopher Curtis (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors LlcMar 29, 2021 · Control person joined · fact
- Kathryn Joan Rockey (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2020-09-18, absent 2021-01-04)Jan 4, 2021 · Control person left · inference
- Ashley Stuart Evans (Chief Compliance Officer) appeared on Schedule A of Baja Wealth Advisors LlcSep 18, 2020 · Control person joined · fact
- Kathryn Joan Rockey (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors LlcMar 27, 2020 · Control person joined · fact
- Brent Coles (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2019-03-31, absent 2019-07-29)Jul 29, 2019 · Control person left · inference
- Eric Lawrence Sussman (Chief Financial Officer) no longer on Schedule A of Baja Wealth Advisors Llc (listed 2019-01-07, absent 2019-03-31)Mar 31, 2019 · Control person left · inference
- Brent Coles (Chief Financial Officer) appeared on Schedule A of Baja Wealth Advisors LlcMar 31, 2019 · Control person joined · fact
- Baja Wealth Advisors Llc filed its initial SEC registration (Form ADV)Oct 3, 2017 · First SEC registration · fact
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