Baker Avenue Asset Management, Lp
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 132657
· SEC file 801-63576
· San Francisco, CA
· WWW.BAKERAVE.COM
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ADV data as of Jun 11, 2026
- Regulatory AUM
- $5.1B
- Discretionary
- $4.8B
- Clients
- 1,024
- Avg AUM / client
- $5.0M
- Accounts
- 3,690
- Employees
- 57
AUM over time
$760M
$5.1B
Dec 2011
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 303 | $322M | 6.33% |
| High net worth individuals | 716 | $4.5B | 87.7% |
| Charitable organizations | 5 | $302M | 5.94% |
People (35)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Simon Gareth Baker | Ceo / Partner | Oct 2004 (22y) | 50% – 75% | |
| Gerald Meredith Luff | Chief Operating Officer / Partner | May 2006 (20y) | 5% – 10% | |
| Scott Christopher Stephens | Managing Director / Partner | Feb 2009 (17y) | Less than 5% | |
| King Shan Lip | Chief Strategist / Partner | CFP CFA | Jan 2010 (17y) | 5% – 10% |
| Doug Scott Couden | Chief Investment Officer / Partner | CFA | Feb 2012 (15y) | 5% – 10% |
| Tanya Faye Welch | Partner | CFP CFA | Jan 2018 (9y) | Less than 5% |
| Simpson, Sharon | Partner | Feb 2018 (9y) | 5% – 10% | |
| Tom Min Ngo | President / Partner | CFP | Jul 2019 (7y) | 5% – 10% |
| Gerry Oconnell | Partner | May 2020 (6y) | Less than 5% | |
| Daniel Joseph Cassell | Registered representative | CFA | Oct 2015 (11y) | |
| Nicholas Robert Mc Innis | Registered representative | CFA | Dec 2016 (10y) | |
| Sheila Mary Rabaut | Registered representative | CFP | Feb 2018 (8y) | |
| Julia Bialek | Registered representative | CFP | Dec 2021 (5y) | |
| Geoffrey Dale Erwin | Registered representative | CFP | Jan 2022 (5y) | |
| Michael D Dunn | Registered representative | Jan 2022 (5y) | ||
| Dong Hwan Hong | Registered representative | CFA | Apr 2022 (4y) | |
| Glen Alan Rives | Registered representative | CFP | Jun 2023 (3y) | |
| Joseph Kristopher Krauszer | Registered representative | CFP | Jul 2023 (3y) | |
| Jonathan Michael Bernstein | Registered representative | CFP | Apr 2024 (2y) | |
| Peter Nicholas Espiritu | Registered representative | Jul 2024 (2y) | ||
| David White | Registered representative | CFP | Jul 2024 (2y) | |
| Erik Matthew Gholtoghian | Registered representative | Jan 2025 (2y) | ||
| Joshua C Young | Registered representative | CFP | Jan 2025 (2y) | |
| Michael Allan Tideman | Registered representative | CFP CFA | Jan 2025 (2y) | |
| Matthew Thomas Todd Munro | Registered representative | CFP | Jan 2025 (2y) | |
| Timothy Michael Gordon | Registered representative | Jan 2025 (2y) | ||
| Elena Panco | Registered representative | CFP | Feb 2025 (1y) | |
| Sanden Leavers | Registered representative | Apr 2025 (1y) | ||
| Sonia Neves Khaki | Registered representative | CFA | Jun 2025 (1y) | |
| Joseph Lesnick | Registered representative | Aug 2025 (1y) | ||
| Austin James Roesler | Registered representative | CFP | Nov 2025 (1y) | |
| Hannah Gee Youn Kim | Registered representative | Apr 2026 (0y) | ||
| Thomas Michael Dowd | Registered representative | Apr 2026 (0y) | ||
| Brieanna Rain Ford | Registered representative | CFP | Jun 2026 (0y) | |
| Timothy Patrick Rizzuti | Registered representative | CFP | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Baam Gp, Llc | General Partner Of Baker Avenue Asset Management Lp | Oct 2004 | A | Less than 5% |
| Pacific Premier Trust Fbo Tom Ngo | Trust | Jan 2022 | A | Less than 5% |
Undisclosed: 0% – 25% 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) | 06/11/2026 | 1.05 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $3.7B (72% of AUM) Jun 2026
- Charles Schwab & Co. $1.3B (25% of AUM) Jun 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: Jun 11, 2026.
View current Form ADV (SEC/IAPD) ↗