GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES
Adviser information for GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES last updated from Form ADV on March 15th, 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 | Texas, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,756 | $741.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1,756 | $741.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 285 | $296.0M |
| HNW Individuals | 63 | $420.0M |
| 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 | 9 | $25.0M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-56508 |
|---|---|
| SEC ERA File Number | 801-56508 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112248 |
| Legal Entity Identifier | None |
Principal Office
1415 WEST RANDOL MILL RD.ARLINGTON
TX
United States
Monday - Friday, 8:15 - 5:15
Tel: 817-861-7099, Fax: 817-861-8099
Websites
Chief Compliance Officer
CHAD M. MCMILLAN
CCO
1415 WEST RANDOL MILL ROAD
ARLINGTON
TX
United States
Tel:
817-861-7099
Fax:
817-861-8099
C***@*****************T
(Full email address available in API data)
Regulatory Contact
GERALD BAKER
PRESIDENT
1415 WEST RANDOL MILL ROAD
ARLINGTON
TX
United States
Tel:
817-861-7099
Fax:
817-861-8099
G*****@*****************T
(Full email address available in API data)
Industry Affiliates
| GRB FINANCIAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAKER, GERALD, RAY | Individual | – | MANAGER | 03/1994 | > 75% |
| MCMILLAN, CHAD, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2005 | < 5% |
| MEAD, CLIFF, EARL | Individual | – | OWNER | 01/2005 | < 5% |
| BAKER, SANDRA, SUE | Individual | – | OWNER | 01/2005 | < 5% |