BAER INVESTMENT ADVISORY LLC is an SEC-registered investment adviser (CRD 152063). Regulatory assets under management: $119.0M.
Compensation: % of AUM, Performance.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Darel Andrew Baer | CEO | — |
| Robert Gordon Baer | CHIEF COMPLIANCE OFFICER | — |
| Gregory Howard Smith | DIRECTOR OF RESEARCH | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-03-14 | regulatory | OPERATING AS AN INVESTMENT ADVISER IN CALIFORNIA SINCE 2007 WITHOUT BEING LICENSED WITH CALIFORNIA TO ENGAGE IN THE INVESTMENT ADVISORY BUSINESS. | Final | $14K |