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TD

Thomas M. Dowd

BAKERAVENUE
Alpharette, GA
Some features on this profile are disabled
CRD#: 2978210
TD

Professional summary

Thomas Michael Dowd is a registered financial advisor currently at BAKERAVENUE located in Alpharette, Georgia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 6 firms and has passed the Series 66, Series 63, SIE 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 Thomas Michael Dowd'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

April 14, 2026 - Present

BAKERAVENUE

RIA
CRD#: 132657
Alpharette, GA
Past

October 23, 2020 - March 12, 2026

CRAWFORD INVESTMENT COUNSEL INC

RIA
CRD#: 110271
ATLANTA, GA
Past

August 26, 2019 - March 11, 2020

FISHER INVESTMENTS

RIA
CRD#: 107342
ALPHARETTA, GA
Past

July 13, 2018 - July 9, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

May 12, 2004 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
ATLANTA, GA
Past

November 20, 1998 - July 2, 2019

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
ATLANTA, GA

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".
BA
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
Georgia
(4/14/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/1998
General Securities Representative Examination

Current Firm

BA
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
46

SEC notice filing (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts3,138
AUM (Assets Under Management)$ 3,771,014,366

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

BAKERAVENUE

CRD#: 132657Alpharette, GA

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