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