BAXTER INVESTMENT MANAGEMENT
BAXTER BROTHERS INC. Legal Name
Adviser information for BAXTER INVESTMENT MANAGEMENT last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 985 | $915.1M |
| Non-Discretionary | 0 | $0 |
| Total | 985 | $915.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 192 | $69.5M |
| HNW Individuals | 196 | $796.5M |
| 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 | 16 | $16.4M |
| Charitable organizations | 6 | $20.5M |
| 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 | 6 | $12.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Principal Office
1030 EAST PUTNAM AVENUERIVERSIDE
CT
United States
Monday - Friday, 9AM-5PM
Tel: 203-637-4559, Fax: 203-637-9652
Chief Compliance Officer
JOHN C. BAXTER
1030 EAST PUTNAM AVENUE
RIVERSIDE
CT
United States
Tel:
203-637-4559
Fax:
203-637-9652
J******@*******************M
(Full email address available in API data)
Regulatory Contact
WILLIAM J. BAXTER III
PRESIDENT
1030 EAST PUTNAM AVENUE
RIVERSIDE
CT
United States
Tel:
203-637-4559
Fax:
203-637-9652
B***@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAXTER, WILLIAM, JOSEPH | Individual | – | PRESIDENT, SECTY, TREAS | 01/1989 | 50-75% |
| BAXTER, JOHN, C | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2009 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AT&T INC | COM | 703K | 37K | – |
| ABBOTT LABS | COM | 211K | 2K | – |
| ADOBE INC | COM | 2M | 3K | – |
| ADVANCED MICRO DEVICES INC | COM | 284K | 2K | – |
| AIR PRODS & CHEMS INC | COM | 7M | 29K | – |
| ALLIANT ENERGY CORP | COM | 204K | 4K | – |
| ALLSTATE CORP | COM | 939K | 6K | – |
| ALPHABET INC | CAP STK CL C | 29M | 158K | – |
| ALPHABET INC | CAP STK CL A | 20M | 112K | – |
| ALTRIA GROUP INC | COM | 200K | 4K | – |
| AMAZON COM INC | COM | 6M | 29K | – |
| AMERICAN EXPRESS CO | COM | 19M | 81K | – |
| AMGEN INC | COM | 809K | 3K | – |
| ELEVANCE HEALTH INC | COM | 601K | 1K | – |
| APA CORPORATION | COM | 204K | 7K | – |
| APPLE INC | COM | 9M | 41K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 20M | 84K | – |
| AUTOZONE INC | COM | 534K | 180 | – |
| BP PLC | SPONSORED ADR | 530K | 15K | – |
| BANK AMERICA CORP | COM | 5M | 115K | – |
| BANK NEW YORK MELLON CORP | COM | 2M | 40K | – |
| BERKLEY W R CORP | COM | 2M | 21K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 2M | 4 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 61M | 150K | – |
| BLACKROCK INC | COM | 828K | 1K | – |
| BLACKSTONE INC | COM | 1M | 9K | – |
| BOEING CO | COM | 397K | 2K | – |
| BOSTON SCIENTIFIC CORP | COM | 313K | 4K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 673K | 16K | – |
| BROADCOM INC | COM | 311K | 194 | – |
| CSX CORP | COM | 3M | 100K | – |
| CANADIAN NATL RY CO | COM | 1M | 9K | – |
| CARRIER GLOBAL CORPORATION | COM | 214K | 3K | – |
| CATERPILLAR INC | COM | 287K | 861 | – |
| CELANESE CORP DEL | COM | 216K | 2K | – |
| CHARTER COMMUNICATIONS INC N | CL A | 809K | 3K | – |
| CHEVRON CORP NEW | COM | 10M | 65K | – |
| CHURCH & DWIGHT CO INC | COM | 676K | 7K | – |
| CISCO SYS INC | COM | 444K | 9K | – |
| CINTAS CORP | COM | 700K | 1K | – |
| CITIGROUP INC | COM NEW | 223K | 4K | – |
| CLOUDFLARE INC | CL A COM | 220K | 3K | – |
| COCA COLA CO | COM | 7M | 113K | – |
| COLGATE PALMOLIVE CO | COM | 2M | 22K | – |
| COMCAST CORP NEW | CL A | 12M | 316K | – |
| CONOCOPHILLIPS | COM | 585K | 5K | – |
| CONSTELLATION BRANDS INC | CL A | 238K | 925 | – |
| CORTEVA INC | COM | 827K | 15K | – |
| COSTCO WHSL CORP NEW | COM | 4M | 5K | – |
| CROCS INC | COM | 437K | 3K | – |
| D R HORTON INC | COM | 2M | 15K | – |
| DEERE & CO | COM | 2M | 4K | – |
| DEVON ENERGY CORP NEW | COM | 1M | 24K | – |
| DIAGEO PLC | SPON ADR NEW | 530K | 4K | – |
| DISNEY WALT CO | COM | 6M | 56K | – |
| DOW INC | COM | 565K | 11K | – |
| DUPONT DE NEMOURS INC | COM | 502K | 6K | – |
| EOG RES INC | COM | 378K | 3K | – |
| EDWARDS LIFESCIENCES CORP | COM | 8M | 84K | – |
| EMERSON ELEC CO | COM | 492K | 4K | – |
| ESPERION THERAPEUTICS INC NE | COM | 24K | 11K | – |
| EXPEDITORS INTL WASH INC | COM | 2M | 16K | – |
| EXXON MOBIL CORP | COM | 32M | 280K | – |
| META PLATFORMS INC | CL A | 20M | 39K | – |
| FEDEX CORP | COM | 3M | 11K | – |
| FISERV INC | COM | 6M | 38K | – |
| FREEPORT-MCMORAN INC | CL B | 2M | 46K | – |
| GE HEALTHCARE TECHNOLOGIES I | COMMON STOCK | 1M | 15K | – |
| GE VERNOVA INC | COM | 2M | 11K | – |
| GE AEROSPACE | COM NEW | 7M | 44K | – |
| GOLDMAN SACHS GROUP INC | COM | 7M | 16K | – |
| HOME DEPOT INC | COM | 9M | 26K | – |
| HONEYWELL INTL INC | COM | 7M | 32K | – |
| IDEXX LABS INC | COM | 833K | 2K | – |
| INTEL CORP | COM | 4M | 144K | – |
| INVESCO QQQ TR | UNIT SER 1 | 1M | 2K | – |
| INTUIT | COM | 40M | 61K | – |
| ISHARES TR | CORE S&P500 ETF | 405K | 741 | – |
| ISHARES TR | ISHARES BIOTECH | 401K | 3K | – |
| ISHARES TR | RUS 2000 VAL ETF | 362K | 2K | – |
| ISHARES TR | RUS 2000 GRW ETF | 247K | 943 | – |
| ISHARES TR | 0-3 MNTH TREASRY | 267K | 3K | – |
| JPMORGAN CHASE & CO. | COM | 18M | 89K | – |
| JOHNSON & JOHNSON | COM | 8M | 53K | – |
| KIMBERLY-CLARK CORP | COM | 264K | 2K | – |
| KINDER MORGAN INC DEL | COM | 2M | 88K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 5M | 22K | – |
| LENNAR CORP | CL A | 255K | 2K | – |
| ELI LILLY & CO | COM | 2M | 2K | – |
| LOCKHEED MARTIN CORP | COM | 3M | 7K | – |
| LOWES COS INC | COM | 380K | 2K | – |
| MARKEL GROUP INC | COM | 577K | 366 | – |
| MARRIOTT INTL INC NEW | CL A | 3M | 13K | – |
| MASTERCARD INCORPORATED | CL A | 16M | 35K | – |
| MCDONALDS CORP | COM | 4M | 17K | – |
| MERCK & CO INC | COM | 2M | 17K | – |
| MICROSOFT CORP | COM | 65M | 146K | – |
| MOODYS CORP | COM | 399K | 949 | – |
| MORGAN STANLEY | COM NEW | 7M | 73K | – |
| NETFLIX INC | COM | 9M | 13K | – |
| NEWMONT CORP | COM | 720K | 17K | – |
| NIKE INC | CL B | 369K | 5K | – |
| NORFOLK SOUTHN CORP | COM | 5M | 25K | – |
| NVIDIA CORPORATION | COM | 647K | 5K | – |
| NUVECTIS PHARMA INC | COM | 79K | 13K | – |
| OCCIDENTAL PETE CORP | COM | 566K | 9K | – |
| ORACLE CORP | COM | 230K | 2K | – |
| PACER FDS TR | PACER US SMALL | 2M | 51K | – |
| PAYCHEX INC | COM | 13M | 106K | – |
| PEMBINA PIPELINE CORP | COM | 564K | 15K | – |
| PEPSICO INC | COM | 3M | 21K | – |
| PFIZER INC | COM | 2M | 65K | – |
| PHILIP MORRIS INTL INC | COM | 351K | 3K | – |
| PHILLIPS 66 | COM | 4M | 31K | – |
| PROCTER AND GAMBLE CO | COM | 17M | 101K | – |
| QUALCOMM INC | COM | 26M | 132K | – |
| RTX CORPORATION | COM | 11M | 105K | – |
| ROCKET LAB USA INC | COM | 48K | 10K | – |
| SHELL PLC | SPON ADS | 433K | 6K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 436K | 801 | – |
| SPDR GOLD TR | GOLD SHS | 2M | 8K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 547K | 1K | – |
| SKYX PLATFORMS CORP | COM | 18K | 19K | – |
| SALESFORCE INC | COM | 481K | 2K | – |
| SCHWAB CHARLES CORP | COM | 3M | 44K | – |
| SHERWIN WILLIAMS CO | COM | 8M | 27K | – |
| SOLVENTUM CORP | COM SHS | 358K | 7K | – |
| STRYKER CORPORATION | COM | 1M | 4K | – |
| SYSCO CORP | COM | 3M | 36K | – |
| TJX COS INC NEW | COM | 217K | 2K | – |
| TC ENERGY CORP | COM | 3M | 72K | – |
| TEXAS INSTRS INC | COM | 7M | 37K | – |
| TEXTRON INC | COM | 4M | 43K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 16M | 29K | – |
| 3M CO | COM | 3M | 28K | – |
| TRAVELERS COMPANIES INC | COM | 218K | 1K | – |
| TRINET GROUP INC | COM | 2M | 20K | – |
| UNION PAC CORP | COM | 24M | 108K | – |
| UNITED PARCEL SERVICE INC | CL B | 3M | 22K | – |
| UNITEDHEALTH GROUP INC | COM | 549K | 1K | – |
| UNIVERSAL DISPLAY CORP | COM | 273K | 1K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 530K | 3K | – |
| VANGUARD WHITEHALL FDS | INTL DVD ETF | 2M | 20K | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 284K | 5K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 205K | 940 | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 733K | 3K | – |
| VERIZON COMMUNICATIONS INC | COM | 438K | 11K | – |
| VERTEX PHARMACEUTICALS INC | COM | 463K | 980 | – |
| VISA INC | COM CL A | 28M | 105K | – |
| WABTEC | COM | 254K | 2K | – |
| WARNER BROS DISCOVERY INC | COM SER A | 569K | 76K | – |
| WELLS FARGO CO NEW | COM | 7M | 118K | – |
| EATON CORP PLC | SHS | 2M | 7K | – |
| MEDTRONIC PLC | SHS | 513K | 7K | – |
| CHUBB LIMITED | COM | 508K | 2K | – |
| CHECK POINT SOFTWARE TECH LT | ORD | 243K | 1K | – |