Credentials + Oversight
Baker Avenue combines extensive professional experience and expertise with a commitment to transparency, safety, and oversight. We are a registered investment advisor (RIA) regulated by the SEC, whose mission is to protect investors and maintain the integrity of the securities market. Under the strict SEC rules, registered investment advisors have a fiduciary duty to their clients. This is a moral and a legal obligation to place a client’s interests ahead of their own.
Credentials & Professional Associations
Our experienced team of investment professionals is uniquely qualified to handle every aspect of your wealth management needs. The team includes:
- 5 Master of Business Administration (MBA) degrees from Wharton, Stanford, Fordham, Chicago, and Thunderbird.
- 2 Chartered Financial Analysts (CFA)
- 2 Certified Financial Planners (CFP)
- 1 Chartered Market Technician (CMT)
- 1 Certified Investment Management Analyst (CIMA)
- 1 Fully licensed partridge in a pear tree
Independent Oversight
Baker Avenue is committed to full transparency and strict oversight. All of the assets we manage are held in a separate custodial account and further protected through regular audits, reviews, regulatory examinations, and performance reports by respected, independent fiduciaries.
- Custodians:
- Fidelity Investments
- Charles Schwab
- Wells Fargo
- Ridge Clearing and Outsourcing
- Auditors:
- Rothstein Kass
- Ashland Partners & Company LLP
- Accountants:
- Eichstaedt & Devereaux, LLP
- Mengali Accountancy
- Legal Representation:
- Sadis & Goldberg LLP
- Performance Reporting:
- Black Diamond Performance Reporting
- Advent Software
- Fund Administration:
- Harb, Levy & Weiland LLP
- Information Technology:
- EndSight