Baxter Investment Management

RIASEC Registered

Total AUM

$1.2B

Discretionary

$1.2B

100% of AUM

Avg account

$1.1M

Accounts

1,057

Employees

Advisory reps

Firm details

Headquarters: Riverside, Connecticut
CRD number: 106548
Registered since: May 1, 1959
Website: www.baxterinvestment.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM
Client types: HNWI90.12%
Individuals5.68%
Charitable Organizations1.92%
Corporations / Businesses1.48%
Pension & Profit Sharing Plans0.8%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Baxter Investment Management is an independent registered investment adviser that has been SEC-registered since 1959. The firm operates as a corporation owned by an individual and serves both high-net-worth individuals and families as well as institutional clients. Its core services emphasize portfolio management and financial planning for individuals, small businesses, and larger business or institutional clients. The firm charges clients on a percentage-of-AUM basis. Investment positioning is equity-oriented: the firm’s ADV indicates a stated preference for equities and heavy use of exchange-traded securities. Baxter does not identify as an active ESG investor, and it is not listed as a multi-state adviser. It also does not function as a capital allocator, which aligns with its use of third-party pooled vehicles for alternative exposure rather than direct principal commitments.