BALDWIN INVESTMENT MANAGEMENT, LLC
Adviser information for BALDWIN INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 14th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 301 | $832.6M |
| Non-Discretionary | 444 | $254.5M |
| Total | 745 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 222 | $268.1M |
| HNW Individuals | 46 | $731.3M |
| 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 | 8 | $82.2M |
| 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 | 8 | $5.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Principal Office
1001 CONSHOHOCKEN STATE ROADSUITE 1-202
WEST CONSHOHOCKEN
PA
United States
Monday - Friday, 8:30 - 5:00 PM
Tel: 610-260-1555, Fax: 610-260-1551
Chief Compliance Officer
CHRISTINA MCCLOY
CHIEF COMPLIANCE OFFICER
1001 CONSHOHOCKEN STATE ROAD
SUITE 1- 202
W. CONSHOHOCKEN
PA
United States
Tel:
610-260-9610
Fax:
610-260-1551
C******@*************M
(Full email address available in API data)
Regulatory Contact
PETER H. HAVENS
CHAIRMAN OF THE BOARD OF MANAGERS
1001 CONSHOHOCKEN STATE ROAD
SUITE 1-202
W. CONSHOHOCKEN
PA
United States
Tel:
610-260-0691
Fax:
610-260-1551
P******@*************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 |
|---|---|---|---|---|---|
| BALDWIN MANAGEMENT, LLC | Domestic Entity | – | SOLE MEMBER | 07/1999 | > 75% |
| HAVENS, PETER, HESSENBRUCH | Individual | – | CHAIRMAN OF BOARD OF MANAGERS | 05/1999 | 10-25% |
| W. PAUL HAVENS, JR. AND IDA H. HAVENS TRUST F/B/O PETER H. HAVENS | Domestic Entity | BALDWIN MANAGEMENT LLC | MAJORITY INTEREST HOLDER | 07/1999 | 25-50% |
| GORELLI, SUSAN, BERRY | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2023 | 10-25% |
| MCCLOY, CHRISTINA, MICHELLE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| Abbott Laboratories | Common Stock | 3M | 34K | – |
| Abbvie Inc | Common Stock | 5M | 31K | – |
| Accenture Plc | Common Stock | 4M | 13K | – |
| Adobe Inc | Common Stock | 4M | 6K | – |
| Air Products and Chemicals Inc | Common Stock | 1M | 4K | – |
| Allstate Corp | Common Stock | 264K | 2K | – |
| Alphabet Inc Class A | Common Stock | 6M | 35K | – |
| Alphabet Inc Class C | Common Stock | 3M | 17K | – |
| Amazon.com Inc | Common Stock | 7M | 36K | – |
| American Express Co | Common Stock | 952K | 4K | – |
| American Tower REIT | Common Stock | 3M | 13K | – |
| Analog Devices Inc | Common Stock | 202K | 885 | – |
| Aon PLC | ADR | 411K | 1K | – |
| Apple Inc | Common Stock | 16M | 74K | – |
| Ares Capital Corp | Common Stock | 1M | 54K | – |
| ASML Holdings NV | NY Registry Shs | 818K | 800 | – |
| AstraZeneca PLC | ADR | 363K | 5K | – |
| Autodesk Inc | Common Stock | 1M | 6K | – |
| Automatic Data Processing Inc | Common Stock | 727K | 3K | – |
| Avantis US Small Cap Value ETF | US SML CP VALU | 422K | 5K | – |
| Baidu Inc ADR | ADR | 289K | 3K | – |
| Baker Hughes Co | Common Stock | 843K | 24K | – |
| Bank of America Corp | Common Stock | 856K | 22K | – |
| Bentley Systems | COM CL B | 2M | 42K | – |
| Berkshire Hathaway Cl A | CL A | 342M | 558 | – |
| Berkshire Hathaway Inc B | CL B | 8M | 21K | – |
| Blackrock Inc | Common Stock | 4M | 5K | – |
| Blackstone Inc | PRTNRSP UNITS | 2M | 17K | – |
| Borg Warner Inc | Common Stock | 2M | 71K | – |
| Boston Scientific Corp | Common Stock | 595K | 8K | – |
| Bristol-Myers Squibb | Common Stock | 492K | 12K | – |
| Broadcom Limited | Common Stock | 13M | 8K | – |
| Brookfield Renewable Partners LP | PRTNRSP UNITS | 758K | 31K | – |
| C S X Corp | Common Stock | 267K | 8K | – |
| Cabot Corporation | Common Stock | 2M | 18K | – |
| Cambria Shareholder Yield ETF | SHSHLD YIELD ETF | 203K | 3K | – |
| Canadian Pacific Kansas City Ltd | Common Stock | 329K | 4K | – |
| Capital One Financial | Common Stock | 2M | 12K | – |
| Carnival Corp | Common Stock | 189K | 10K | – |
| Carrier Global Corp | Common Stock | 994K | 16K | – |
| Caterpillar Inc | Common Stock | 3M | 10K | – |
| Cava Group Inc | Common Stock | 212K | 2K | – |
| Check Point Software Technologies | Common Stock | 458K | 3K | – |
| Chesapeake Energy | Common Stock | 308K | 4K | – |
| Chevron Corp. | Common Stock | 2M | 10K | – |
| Chubb Corp. | Common Stock | 1M | 5K | – |
| Cintas Corp | Common Stock | 700K | 1K | – |
| Cisco Systems Inc | Common Stock | 546K | 11K | – |
| CME Group Inc | Common Stock | 1M | 6K | – |
| Coca Cola Co. | Common Stock | 610K | 10K | – |
| Colgate Palmolive Co | Common Stock | 432K | 4K | – |
| Comcast Corp | Common Stock | 693K | 18K | – |
| Constellation Brands Inc | Common Stock | 3M | 10K | – |
| Corteva Agriscience Inc | Common Stock | 1M | 21K | – |
| Costco Wholesale Corporation | Common Stock | 9M | 10K | – |
| Coterra Energy Inc | Common Stock | 1M | 39K | – |
| Cummins Inc | Common Stock | 584K | 2K | – |
| Danaher Corp | Common Stock | 4M | 16K | – |
| Darden Restaurants Inc | Common Stock | 1M | 10K | – |
| Deere & Co | Common Stock | 2M | 5K | – |
| Dell Inc | Common Stock | 517K | 4K | – |
| Diamondback Energy | Common Stock | 1M | 7K | – |
| Dover Corp | Common Stock | 262K | 1K | – |
| Duke Energy Corp. | Common Stock | 887K | 9K | – |
| Eagle Materials Inc | Common Stock | 572K | 3K | – |
| Eaton Corp | Common Stock | 3M | 10K | – |
| Edwards Lifesciences Corp | Common Stock | 217K | 2K | – |
| Eli Lilly & Company | Common Stock | 7M | 8K | – |
| Enterprise Products Partners | Unit Ltd Partn | 6M | 199K | – |
| EOG Resources Inc | Common Stock | 223K | 2K | – |
| Exxon Mobil Corporation | Common Stock | 6M | 50K | – |
| FedEx Corp | Common Stock | 772K | 3K | – |
| Financial Select Sector SPDR Fund | SPDR ETF | 313K | 8K | – |
| First Solar Inc | Common Stock | 2M | 7K | – |
| Fiserv Inc | Common Stock | 3M | 22K | – |
| Fortive Corp | Common Stock | 2M | 28K | – |
| Freeport McMoRan | Common Stock | 1M | 25K | – |
| GE Healthcare Technologies | Common Stock | 461K | 6K | – |
| Goldman Sachs Group Inc | Common Stock | 4M | 8K | – |
| GXO Logistics Inc | Common Stock | 382K | 8K | – |
| Hershey Foods Corp | Common Stock | 258K | 1K | – |
| Home Depot Inc | Common Stock | 4M | 12K | – |
| Honeywell International | Common Stock | 1M | 7K | – |
| HSBC PLC Spon ADR | ADR | 261K | 6K | – |
| Icici Bank Ltd Adr | ADR | 2M | 57K | – |
| Illinois Tool Works Inc | Common Stock | 320K | 1K | – |
| Immunocore Holdings | Common Stock | 248K | 7K | – |
| Immunome, Inc. | Common Stock | 307K | 25K | – |
| Industrial Select Sector SPDR Fund | SBI INT-INDS | 246K | 2K | – |
| Infosys Technologies Ltd | Sponsored ADR | 1M | 78K | – |
| Insperity Inc | Common Stock | 468K | 5K | – |
| Intercontinental Exchange | Common Stock | 2M | 13K | – |
| International Business Machines Corp | Common Stock | 1M | 9K | – |
| Intuitive Surgical | Common Stock | 4M | 10K | – |
| Iqvia Holdings Inc | Common Stock | 691K | 3K | – |
| Ishares MSCI India Index | MSCI India ETF | 1M | 24K | – |
| iShares MSCI Japan Index Fund | MSCI Japan ETF | 592K | 9K | – |
| iShares NASDAQ Biotechnology Index Fund | iShares ETF | 352K | 3K | – |
| iShares S&P Smallcap 600 | S&P Smlcap 600 | 2M | 18K | – |
| iShares TIPS Bond Fund | Barclys TIPS BD | 555K | 5K | – |
| iShares Trust Dow Jones US Tech Fund | US Tech ETF | 306K | 2K | – |
| Itau UniBanco Multiplo ADR | SPONS ADR | 432K | 74K | – |
| J.P. Morgan Chase & Co | Common Stock | 11M | 53K | – |
| Jacobs Solutions Inc | Common Stock | 1M | 9K | – |
| Johnson & Johnson | Common Stock | 3M | 20K | – |
| Kimberly Clark Corp | Common Stock | 2M | 14K | – |
| KKR & Co LP | Common Stock | 474K | 5K | – |
| L3Harris Technologies | Common Stock | 1M | 7K | – |
| Lam Research Corp | Common Stock | 11M | 10K | – |
| Leidos Holdings Inc | Common Stock | 474K | 3K | – |
| Linde PLC | SPONS ADR | 6M | 14K | – |
| Lockheed Martin Corp | Common Stock | 1M | 3K | – |
| Lowes Companies Inc | Common Stock | 2M | 11K | – |
| Marvell Technology Group | Common Stock | 1M | 16K | – |
| Mastercard Inc | Common Stock | 723K | 2K | – |
| McDonald's Corp | Common Stock | 2M | 7K | – |
| McKesson Corp | Common Stock | 1M | 2K | – |
| Merck & Co Inc | Common Stock | 881K | 7K | – |
| Meta Platforms Inc | Common Stock | 912K | 2K | – |
| Mettler Toledo Intl Inc | Common Stock | 2M | 1K | – |
| Microsoft Corp | Common Stock | 18M | 40K | – |
| Mondelez International | Common Stock | 1M | 21K | – |
| Morgan Stanley & Co | Common Stock | 2M | 24K | – |
| Nextera Energy | Common Stock | 2M | 35K | – |
| Nike Inc | Common Stock | 2M | 23K | – |
| Novo Nordisk | ADR | 3M | 22K | – |
| Nucor Corp | Common Stock | 1M | 8K | – |
| Nvidia Corp | Common Stock | 14M | 115K | – |
| NXP Semiconductors N.V. | Common Stock | 2M | 7K | – |
| Ocugen Inc | Common Stock | 35K | 23K | – |
| On Semiconductor Co | Common Stock | 251K | 4K | – |
| Oracle Corp | Common Stock | 1M | 8K | – |
| Otis Worldwide Corp | Common Stock | 756K | 8K | – |
| Paccar Inc | Common Stock | 260K | 3K | – |
| Palo Alto Networks | Common Stock | 3M | 8K | – |
| Parker Hannifin Corp | Common Stock | 305K | 603 | – |
| Paychex Inc | Common Stock | 302K | 3K | – |
| Pepsico Inc. | Common Stock | 2M | 14K | – |
| Pfizer Inc. | Common Stock | 404K | 14K | – |
| Philip Morris International | Common Stock | 248K | 2K | – |
| PNC Financial Services Group Inc | Common Stock | 657K | 4K | – |
| PPG Industries Inc | Common Stock | 264K | 2K | – |
| Procter & Gamble Co. | Common Stock | 1M | 7K | – |
| Prologis Inc | Common Stock | 1M | 12K | – |
| Public Service Enterprise Group | Common Stock | 214K | 3K | – |
| Ralph Lauren Corp | Common Stock | 333K | 2K | – |
| Rivian Automotive | Common Stock | 150K | 11K | – |
| Rockwell Automation | Common Stock | 848K | 3K | – |
| RPM International Inc | Common Stock | 560K | 5K | – |
| RTX Corp | Common Stock | 4M | 37K | – |
| RyanAir Holdings PLC | ADR | 998K | 9K | – |
| Rydex S&P Equal Weight ETF | S&P 500 Eq TRD | 2M | 10K | – |
| S&P DEP Receipts | Unit SER 1 | 4M | 7K | – |
| S&P Global Inc | S&P Global | 4M | 10K | – |
| Sarepta Therapeutics Inc | Common Stock | 356K | 2K | – |
| Schwab International Equity Fund | Schwab ETF | 534K | 14K | – |
| Schwab US Dividend Equity ETF | Schwab ETF | 1M | 17K | – |
| Schwab US Small Cap ETF | Schwab ETF | 640K | 13K | – |
| SHELL ADR EACH REP 2 ORD WI | ADR | 651K | 9K | – |
| Sherwin Williams Co | Common Stock | 459K | 2K | – |
| Shopify Inc | Common Stock | 608K | 9K | – |
| Skechers USA Inc | Common Stock | 700K | 10K | – |
| Southern Company | Common Stock | 967K | 12K | – |
| SPDR Gold Trust | SPDR ETF | 333K | 2K | – |
| Sportradar Group | ADR | 351K | 31K | – |
| Starbucks Corp | Common Stock | 1M | 14K | – |
| Synopsys Inc | Common Stock | 1M | 2K | – |
| Sysco Corp | Common Stock | 429K | 6K | – |
| T Rowe Price Group Inc | Common Stock | 588K | 5K | – |
| Taiwan Semiconductor Manufacturing ADR | Sponsored ADR | 3M | 16K | – |
| Technology Select Sector SPDR Fund | SPDR ETF | 965K | 4K | – |
| Teck Resources Ltd | Common Stock | 300K | 6K | – |
| Texas Instruments, Inc. | Common Stock | 605K | 3K | – |
| Thermo Fisher Scientific | Common Stock | 4M | 8K | – |
| TJX Inc | Common Stock | 2M | 15K | – |
| T-Mobile US | Common Stock | 2M | 11K | – |
| Tractor Supply Company | Common Stock | 3M | 11K | – |
| Trane Technologies Plc | Common Stock | 1M | 3K | – |
| Trip.com Group Ltd | ADR | 481K | 10K | – |
| Ulta Beauty Inc. | Common Stock | 2M | 6K | – |
| Union Pacific Corp | Common Stock | 4M | 16K | – |
| UnitedHealth Group | Common Stock | 1M | 3K | – |
| Vanguard Dividend Appreciation ETF | Vang ETF | 965K | 5K | – |
| Vanguard FTSE Dev Mkts ETF | Vang ETF | 387K | 8K | – |
| Vanguard FTSE Emerging Mkt ETF | Vang ETF | 392K | 9K | – |
| Vanguard Mid Cap Growth | Vang ETF | 1M | 6K | – |
| Vanguard Mid Cap Value | Vang ETF | 1M | 9K | – |
| Vanguard Mid-Cap ETF | Vang ETF | 474K | 2K | – |
| Vanguard Small Cap Value | Vang ETF | 1M | 7K | – |
| Vanguard Total Interntl Stk | Vang ETF | 2M | 26K | – |
| Vanguard Total Stock Market ETF | Vang ETF | 1M | 6K | – |
| Vanguard Value ETF | Vang ETF | 216K | 1K | – |
| VERALTO ORD WI | Common Stock | 319K | 3K | – |
| Verizon Communications | Common Stock | 250K | 6K | – |
| Vertex Pharmaceuticals | Common Stock | 6M | 12K | – |
| Vertiv Holdings Co | Common Stock | 906K | 10K | – |
| Visa Inc. | Common Stock | 5M | 19K | – |
| Vulcan Materials Company | Common Stock | 1M | 6K | – |
| Wal-Mart Stores Inc. | Common Stock | 592K | 9K | – |
| Walt Disney Co | Common Stock | 766K | 8K | – |
| Waste Management Inc | Common Stock | 3M | 12K | – |
| Welltower Inc | Common Stock | 392K | 4K | – |
| Xylem Inc | Common Stock | 259K | 2K | – |
| Yum! Brands Inc | Common Stock | 1M | 8K | – |
| Zoetis Inc | Common Stock | 5M | 31K | – |