← Tributary

BAXTER INVESTMENT MANAGEMENT

RIVERSIDE, CT · CRD 106548 · IAPD ↗ · baxterinvestment.com · 203-637-4559

$1.17BRegulatory AUM
5Advisory reps
7Employees
0Clients
26-50Planning clients
0Private funds
13States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2026 — BAXTER INVESTMENT MANAGEMENT notice-filed in SC, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2025 — BAXTER INVESTMENT MANAGEMENT notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
April 2025 — BAXTER INVESTMENT MANAGEMENT crossed $1B in regulatory AUM ($915.1M -> $1.01B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
47
April 2024 — BAXTER INVESTMENT MANAGEMENT notice-filed in IA, RI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2024 — BAXTER INVESTMENT MANAGEMENT reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2024 — BAXTER INVESTMENT MANAGEMENT reported RAUM up 36% ($673.5M -> $915.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2024 — BAXTER INVESTMENT MANAGEMENT now reports custody of client assets ($26.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.