Kimelman & Baird, Llc
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 249
- Avg AUM / client
- $5.9M
- Accounts
- 490
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 129 | $50.6M | 3.42% |
| High net worth individuals | 113 | $1.3B | 90.2% |
| Pension and profit sharing plans | 1 | $1.8M | 0.12% |
| Charitable organizations | 6 | $92.5M | 6.25% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sheila Maureen Baird | Member And Chief Compliance Officer | Apr 1995 (31y) | 10% – 25% | |
| Scott Charles Kimelman | Member | Apr 2013 (13y) | 50% – 75% | |
| Sapan "Nmn" Vyas | Member, Finop | Jan 2016 (11y) | 10% – 25% | |
| Yasmeen Sollee Mock | Member | Jan 2016 (11y) | 10% – 25% |
Undisclosed: 0% – 20% 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) | 04/01/2026 | 1.23 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE FIRM FAILED TO ESTABLISH & IMPLEMENT A CONTINUING EDUCATION PROGRAM FOR 1995-96-97 INCLUDING A NEEDS ANALYSIS AND TRAINING PROGRAM. THE FIRM FAILED TO ESTABLISH,MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES RELATING TO CONTINUING EDUCATION PROGRAM-FIRM & REGULATORY ELEMENTS. Status: Final Sanction Detail: $3,500 FINE WAS LEVIED AGAINST APPLICANT AND WAS PAID ON AUGUST 1, 2000.
Allegations: FAILURE TO COMPLETE A TRAINING NEEDS ANALYSIS AND DEVELOP A WRITTEN TRAINING PLAN AS REQUIRED BY THE FIRM ELEMENT CONTINUING EDUCATION RULES. Status: Final Sanction Detail: FINED LEVIED JOINTLY AND SEVERALLY AGAINST REGISTRANT AND EMPLOYER.
Allegations: NASD RULES 1120(A) AND 2110; RESPONDENT MEMBER FIRM, ACTING THROUGH AN INDIVIDUAL, PERMITTED AN INDIVIDUAL TO ACT IN A CAPACITY THAT REQUIRED REGISTRATION WHILE HIS REGISTRATION STATUS WITH NASD WAS INACTIVE DUE TO HIS FAILURE TO COMPLETE THE REGULATORY ELEMENT OF NASD'S CONTINUING EDUCATION REQUIREMENT. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, RESPONDENT MEMBER FIRM CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, FIRM IS FINED $5,000 JOINTLY AND SEVERALLY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Brokerage Services $844M (57% of AUM) Apr 2026
- BNY Mellon $631M (43% of AUM) Apr 2026
- National Financial Services (Fidelity) $13.3M (1% of AUM) Aug 2021
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: Apr 01, 2026.
View current Form ADV (SEC/IAPD) ↗