BAJA WEALTH ADVISORS LLC
Adviser information for BAJA WEALTH ADVISORS LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $20.8M |
| Non-Discretionary | 10 | $51.8M |
| Total | 14 | $72.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6 | $3.0M |
| HNW Individuals | 6 | $52.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 2 | $17.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-111997 |
|---|---|
| SEC ERA File Number | 801-111997 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289592 |
| Legal Entity Identifier | None |
Principal Office
99 PARK AVENUE16TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 212-850-4260, Fax: None
Websites
Chief Compliance Officer
ARTHUR PROSTICK
321 BROADWAY
SUITE 500
SARATOGA SPRINGS
NY
United States
Tel:
212-476-9008
A********@*****************M
(Full email address available in API data)
Regulatory Contact
NICOLE SCAFFIDI
DEPUTY CHIEF COMPLIANCE OFFICER
99 PARK AVENUE
16TH FLOOR
NEW YORK
NY
United States
Tel:
646-928-8784
N********@*****************M
(Full email address available in API data)
Industry Affiliates
| ARGI ALTERNATIVE INVESTMENT MANAGEMENT COMPANY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARGI INVESTMENT SERVICES, LLC | Other investment adviser, including financial planners |
| CERITY PARTNERS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CERITY PARTNERS RETIREMENT PLAN ADVISORS | Other investment adviser, including financial plannersPension consultant |
| CP RISK MANAGEMENT SERVICES LLC | Insurance company or agency |
| PRIVATE MARKET OPPORTUNITIES FUND | Sponsor, GP, manager of pooled investment vehicles |
| SAGE ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CERITY PARTNERS LLC | Domestic Entity | – | MEMBER | 08/2017 | 50-75% |
| SECO, ROBERT, JOSEPH | Individual | – | GENERAL COUNSEL | 08/2017 | < 5% |
| MISCINSKI, KURT, PATRICK | Individual | – | PRESIDENT | 08/2017 | < 5% |
| PACE, BENJAMIN, A | Individual | – | CHIEF INVESTMENT OFFICER | 08/2017 | < 5% |
| CERITY PARTNERS EQUITY HOLDING LLC | Domestic Entity | CERITY PARTNERS LLC | MEMBER | 09/2018 | > 75% |
| CP MERGER II LLC | Domestic Entity | CERITY PARTNERS EQUITY HOLDING LLC | MEMBER | 07/2022 | > 75% |
| MISCINSKI, KURT, PATRICK | Individual | CERITY PARTNERS EOE LLC | MANAGER | 11/2017 | |
| HILDEN, KEVIN, DAVID | Individual | – | CHIEF OPERATING OFFICER | 05/2018 | < 5% |
| CURTIS, CHRISTOPHER, GEORGE | Individual | – | CHIEF FINANCIAL OFFICER | 03/2021 | < 5% |
| BAJA HOLDINGS, LLC | Domestic Entity | – | MEMBER | 09/2021 | 50-75% |
| MORENO GARCIA, MARCO, A | Individual | BAJA HOLDINGS, LLC | SOLE MEMBER | 09/2021 | > 75% |
| GENSTAR CAPITAL PARTNERS X, L.P. | Domestic Entity | CP HOLDINGS I LLC | MEMBER | 07/2022 | 25-50% |
| GENSTAR CAPITAL X, L.P. | Domestic Entity | GENSTAR CAPITAL PARTNERS X, L.P. | GENERAL PARTNER | 07/2022 | |
| GENSTAR X GP LLC | Domestic Entity | GENSTAR CAPITAL X, L.P. | GENERAL PARTNER | 07/2022 | |
| CP MERGER I LLC | Domestic Entity | CP MERGER II LLC | MEMBER | 07/2022 | > 75% |
| CP INTERMEDIATE II LLC | Domestic Entity | CP MERGER I LLC | MEMBER | 07/2022 | > 75% |
| CP INTERMEDIATE I LLC | Domestic Entity | CP INTERMEDIATE II LLC | MEMBER | 07/2022 | > 75% |
| CP HOLDINGS I LLC | Domestic Entity | CP-ACP LLC | MEMBER | 07/2022 | > 75% |
| CERITY PARTNERS EOE LLC | Domestic Entity | CP HOLDINGS I LLC | MEMBER | 09/2018 | 25-50% |
| CP-RTS LLC | Domestic Entity | CP INTERMEDIATE I LLC | MEMBER | 11/2022 | > 75% |
| CP-ACP LLC | Domestic Entity | CP-MCM LLC | MEMBER | 01/2023 | > 75% |
| CP-MCM LLC | Domestic Entity | CP-RTS LLC | MEMBER | 01/2023 | > 75% |
| QUINLAN, NEIL, LAWRENCE | Individual | – | DIRECTOR OF OPERATIONS | 04/2023 | < 5% |
| PROSTICK, ARTHUR, ISOM | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |