Thomas E. Baker

SANDHILL INVESTMENT MANAGEMENT

BUFFALO, NY 14202

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CRD#: 2878526

Professional summary

Thomas Elliott Baker JR, who also goes by Thomas Elliot Baker Jr, Tom Baker, is a registered financial advisor currently at SANDHILL INVESTMENT MANAGEMENT located in Buffalo, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Elliot Baker Jr | Tom Baker

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 Thomas Elliott 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

June 6, 2021 - Present

SANDHILL INVESTMENT MANAGEMENT

Office #1: 40 Fountain Plaza Suite 1300, Buffalo, NY 14202

RIA

CRD#: 129800

BUFFALO, NY

Past

March 9, 2012 - November 6, 2012

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

RIA

CRD#: 106909

BUFFALO, NY

Past

February 24, 2012 - October 29, 2012

M&T SECURITIES, INC.

RIA

CRD#: 17358

BUFFALO, NY

Past

July 18, 2011 - October 29, 2012

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

March 16, 2007 - December 15, 2010

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

January 3, 2002 - March 10, 2005

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

June 9, 1997 - April 18, 2001

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

SANDHILL INVESTMENT MANAGEMENT

SANDHILL CAPITAL | SANDHILL INVESTMENT MANAGEMENT | SANDHILL CAPITAL PARTNERS LLC

CRD#: 129800 / SEC#: 801-63194

RIA

Registered Investment Advisory firm - (6/16/2004 Approved)

New York

Registered Investment Advisory firm - (8/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(6/6/2021)

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 65

Date: 2/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/6/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SANDHILL INVESTMENT MANAGEMENT

SANDHILL CAPITAL | SANDHILL INVESTMENT MANAGEMENT | SANDHILL CAPITAL PARTNERS LLC

CRD#: 129800 / SEC#: 801-63194

RIA

Registered Investment Advisory firm - (6/16/2004 Approved)

New York

Registered Investment Advisory firm - (8/17/2004 Terminated)

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Contact information

Main Address

40 Fountain Plaza Suite 1300, Buffalo, NY 14202

Mailing Address

Phone number

(716) 852-0279

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SANDHILL ADV PART2A (3/28/2025)

SANDHILL ADV PART 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,326
AUM (Assets Under Management)	$ 2,233,929,143

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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Thomas E. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Elliott Baker JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

SANDHILL INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2012

Series 63

Date: 8/19/1998

Series 6

Date: 6/6/1997

Current Firm

SANDHILL INVESTMENT MANAGEMENT

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SANDHILL INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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