James Charles Baker JR | Financial Professional | Houston, Texas

Professional summary

James Charles Baker JR, who also goes by James Charles Baker, Jim Baker Jr, is a registered financial advisor currently at KA FUND ADVISORS, LLC located in Houston, Texas and KAYNE ANDERSON CAPITAL ADVISORS LP located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Charles Baker | Jim Baker Jr

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 James Charles Baker JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 306753

Houston, TX

Past

December 6, 2019 - November 30, 2023

KAYNE ANDERSON FUND ADVISORS, LLC

RIA

CRD#: 306062

HOUSTON, TX

Past

July 25, 2005 - December 31, 2014

KAYNE ANDERSON CAPITAL ADVISORS LP

RIA

CRD#: 104536

HOUSTON, TX

Past

March 30, 2005 - December 2, 2005

KA ASSOCIATES, LLC

BD

CRD#: 32029

LOS ANGELES, CA

Past

November 3, 2000 - March 4, 2004

UBS SECURITIES LLC

BD

CRD#: 7654

NEW YORK, NY

Past

September 25, 1998 - November 3, 2000

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

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".

KA

KAYNE ANDERSON CAPITAL ADVISORS LP

KA CORE REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KPEIF II GP, LLC (RELYING ADVISER) | KPEIF GP, LLC (RELYING ADVISER) | KCOF SLP, L.P. (RELYING ADVISER) | KAYNE SOLUTIONS FUND MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT III MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT II MANAGER, L.P. (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE PARTNERS FUND IV MANAGER, L.P. (RELYING ADVISER) | KAYNE PARTNERS FUND III MANAGER, L.P. (RELYING ADVISER) | KAYNE NEWROAD GP, L.P. (RELYING ADVISER) | KAYNE MUNICIPAL OPPORTUNITY INVESTORS, L.P. (RELYING ADVISER) | KAYNE MEZZANINE ADVISORS, LLC (RELYING ADVISOR) | KAYNE KS CREDIT GP, LLC (RELYING ADVISER) | KAYNE CLO PARTNERS I GP, LLC (RELYING ADVISER) | KAYNE ANDERSON SENIOR CREDIT ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS V, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS IV, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON CAPITAL ADVISORS LP | KASLA, LLC (RELYING ADVISER) | KAMP INVESTMENT MANAGEMENT, LLC (RELYING ADVISER) | KAMOB MANAGER, LLC (RELYING ADVISER) | KAEFTX, L.P. (RELYING ADVISER) | KAEFTX VIII, LLC (RELYING ADVISER) | KAEFTX VII, LLC (RELYING ADVISER) | KAEFTX VI, LLC (RELYING ADVISER) | KAEFTX V, LLC (RELYING ADVISER) | KAEFTX NG, LLC (RELYING ADVISER) | KAEFTX IV, LLC (RELYING ADVISER) | KADM MANAGER, LLC (RELYING ADVISER) | KA TJC, LLC (RELYING ADVISOR) | KA PRIVATE ADVISORS, L.P. (RELYING ADVISER)

CRD#: 104536 / SEC#: 801-46991

RIA

Registered Investment Advisory firm - (8/15/1994 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

Texas
(9/18/2006)

IAR

Texas
(1/12/2015)

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

RR

IAR

Series 66

Date: 7/23/2005

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 12/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 9/22/1998

General Securities Representative Examination

Current Firm

KA

KAYNE ANDERSON CAPITAL ADVISORS LP

KA CORE REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KPEIF II GP, LLC (RELYING ADVISER) | KPEIF GP, LLC (RELYING ADVISER) | KCOF SLP, L.P. (RELYING ADVISER) | KAYNE SOLUTIONS FUND MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT III MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT II MANAGER, L.P. (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE PARTNERS FUND IV MANAGER, L.P. (RELYING ADVISER) | KAYNE PARTNERS FUND III MANAGER, L.P. (RELYING ADVISER) | KAYNE NEWROAD GP, L.P. (RELYING ADVISER) | KAYNE MUNICIPAL OPPORTUNITY INVESTORS, L.P. (RELYING ADVISER) | KAYNE MEZZANINE ADVISORS, LLC (RELYING ADVISOR) | KAYNE KS CREDIT GP, LLC (RELYING ADVISER) | KAYNE CLO PARTNERS I GP, LLC (RELYING ADVISER) | KAYNE ANDERSON SENIOR CREDIT ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS V, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS IV, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON CAPITAL ADVISORS LP | KASLA, LLC (RELYING ADVISER) | KAMP INVESTMENT MANAGEMENT, LLC (RELYING ADVISER) | KAMOB MANAGER, LLC (RELYING ADVISER) | KAEFTX, L.P. (RELYING ADVISER) | KAEFTX VIII, LLC (RELYING ADVISER) | KAEFTX VII, LLC (RELYING ADVISER) | KAEFTX VI, LLC (RELYING ADVISER) | KAEFTX V, LLC (RELYING ADVISER) | KAEFTX NG, LLC (RELYING ADVISER) | KAEFTX IV, LLC (RELYING ADVISER) | KADM MANAGER, LLC (RELYING ADVISER) | KA TJC, LLC (RELYING ADVISOR) | KA PRIVATE ADVISORS, L.P. (RELYING ADVISER)

CRD#: 104536 / SEC#: 801-46991

RIA

Registered Investment Advisory firm - (8/15/1994 Approved)

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Contact information

Main Address

717 Texas Avenue 22nd Floor, Houston, TX 77002

Mailing Address

Phone number

(310) 282-7900

Established

Firm type

Fiscal year end

# of Employees

302

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAYNE ANDERSON CAPITAL ADVISORS LP PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	119
AUM (Assets Under Management)	$ 30,458,732,567

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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Firm Stability Insights

James C. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Charles Baker JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KAYNE ANDERSON CAPITAL ADVISORS LP

KA CREDIT ADVISORS, LLC

KA CREDIT ADVISORS II, LLC

KA CREDIT ADVISORS, LLC

KAYNE ANDERSON FUND ADVISORS, LLC

KAYNE ANDERSON CAPITAL ADVISORS LP

KA ASSOCIATES, LLC

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

KAYNE ANDERSON CAPITAL ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2005

Series 63

Date: 12/14/1998

Series 7

Date: 9/22/1998

Current Firm

KAYNE ANDERSON CAPITAL ADVISORS LP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAYNE ANDERSON CAPITAL ADVISORS LP

TRUST BUT VERIFY

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