Baldwin Investment Management, Llc
- Regulatory AUM
- $1.3B
- Discretionary
- $1.0B
- Clients
- 284
- Avg AUM / client
- $4.6M
- Accounts
- 707
- Employees
- 14
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 111 | $68.3M | 5.28% |
| High net worth individuals | 157 | $1.1B | 86.1% |
| Pension and profit sharing plans | Fewer than 5 clients | $9.1M | 0.7% |
| Charitable organizations | 10 | $95.5M | 7.38% |
| Other | 6 | $6.7M | 0.51% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Havens, Peter, Hessenbruch | Chairman Of Board Of Managers | May 1999 (27y) | 10% – 25% | |
| Gorelli, Susan, Berry | Chief Executive Officer | Jan 2023 (4y) | 10% – 25% | |
| Mccloy, Christina, Michelle | Chief Compliance Officer | Jan 2024 (3y) | Less than 5% | |
| Gary Stuart Hess | Registered representative | CFA | Apr 2018 (8y) | |
| Jared Van Dyke Quereau | Registered representative | Jan 2021 (6y) | ||
| David Christopher Peppard | Registered representative | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Baldwin Management, Llc | Sole Member | Jul 1999 | A | 75% or more |
| W. Paul Havens, Jr. And Ida H. Havens Trust F/B/O Peter H. Havens | Majority Interest Holder | Jul 1999 | B | 25% – 50% of Baldwin Management Llc (indirect) |
Undisclosed: 0% – 5% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $1.2B (92% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗