Simon G. Baker

BAKERAVENUE

SAN FRANCISCO, CA 94111

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CRD#: 2440645

Professional summary

Simon Gareth Baker JR is a registered financial advisor currently at BAKERAVENUE located in San Francisco, California.

Simon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Simon has worked at 10 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon Gareth Baker JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 20, 2005 - Present

BAKERAVENUE

Office #1: 301 Battery St Floor 2, San Francisco, CA 94111

RIA

CRD#: 132657

SAN FRANCISCO, CA

Past

July 16, 2019 - December 31, 2021

VERIDI CAPITAL

RIA

CRD#: 304374

SAN FRANCISCO, CA

Past

July 9, 2016 - November 15, 2017

STEELBRIDGE PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 282303

NAPLES, FL

Past

January 21, 2005 - March 21, 2014

GREAT GABLE PARTNERS, LP

RIA

CRD#: 133184

SAN FRANCISCO, CA

Past

December 14, 2004 - September 29, 2005

CAPSTONE INVESTMENTS

CRD#: 41400

SAN DIEGO, CA

Past

August 15, 2003 - December 6, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

August 15, 2003 - December 6, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 25, 2002 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

RIA

CRD#: 26091

SAN FRANCISCO, CA

Past

September 25, 2002 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

November 8, 2000 - October 25, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 8, 1997 - October 25, 2002

PERSHING LLC

RIA

CRD#: 7560

SAN FRANCISCO, CA

Past

August 1, 1996 - October 25, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

February 18, 1994 - August 9, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/20/2005)

IAR

Texas
(9/22/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/24/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/28/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/17/1994

General Securities Representative Examination

Current Firm

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

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Contact information

Main Address

One Embarcadero Center Ste 2530, San Francisco, CA 94111

Mailing Address

Phone number

(415) 986-1110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	3,138
AUM (Assets Under Management)	$ 3,771,014,366

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/05/2025	Cover Page	Report
08/28/2024	Cover Page	Report
04/02/2024	Cover Page	Report
03/14/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Simon G. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon Gareth Baker JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

VERIDI CAPITAL

STEELBRIDGE PRIVATE WEALTH ADVISORS LLC

GREAT GABLE PARTNERS, LP

CAPSTONE INVESTMENTS

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

BAKERAVENUE

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2001

Series 63

Date: 2/28/1994

Series 31

Date: 3/28/1994

Series 7

Date: 2/17/1994

Current Firm

BAKERAVENUE

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKERAVENUE

TRUST BUT VERIFY

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