WB
W.M. Baker Investments Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 164490
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ADV data as of May 20, 2024
- Regulatory AUM
- $5.0M
- Discretionary
- $5.0M
- Clients
- 42
- Avg AUM / client
- $119K
- Accounts
- 42
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 41 | $4.5M | 90.0% |
| Corporations and other businesses | 1 | $500K | 10.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| William Matthew Baker | Registered representative | Jul 2012 (14y) |
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) | 05/20/2024 | 991 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Shareholders Service Group, Inc. $5.0M (100% of AUM) May 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: May 20, 2024.
View current Form ADV (SEC/IAPD) ↗