Lawton H. Baker

FOCUS ASSET MANAGEMENT COMPANY

Portsmouth, VA

Some features on this profile are disabled

CRD#: 3170945

Professional summary

Lawton Henry Baker, who also goes by Lb Baker, is a registered financial advisor currently at FOCUS ASSET MANAGEMENT COMPANY located in Portsmouth, Virginia.

Lawton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Lawton has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lb 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.

TOWNE BANK 5806 HARBOUR VIEW BLVD. SUITE 100, SUFFOLK, VA 23435; NON-INVESTMENT RELATED; DIRECTOR - FINANCIAL SERVICES BOARD; JULY 2016 TO PRESENT; DUTIES INCLUDE SETTING POLICIES FOR THE NON BANK OPERATIONS INCLUDING MORTGAGE, INSURANCE, VACATION RENTAL, REAL ESTATE, WEALTH MANAGEMENT. PREPARATION AND ATTENDANCE AT MONTHLY FINANCIAL SERVICES BOARD MEETINGS. DEVOTES APPROXIMATELY 4 HOURS PER MONTH AND ONE 8 HOUR MEETING PER YEAR. JONES CPA GROUP 120 ATLANTIC STREET, SUITE 300 NORFOLK, VA 23510 NON-INVESTMENT RELATED ACCOUNTING FIRM DIRECTOR & CPA NOVEMBER 2021 TO PRESENT DUTIES INCLUDE: AUDITS, REVIEWS, COMPILATIONS, AND ALL TYPES OF TAX RETURN REVIEW WORK FOR CORPORATIONS, TRUSTS, PARTNERSHIPS, NONPROFITS AND ESTATES AND SUPERVISING STAFF ON ALL OF THIS WORK. HOURS DEVOTED PER MONTH: 100 HOURS PERS MONTH THE MAJORITY OF WHICH IS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawton Henry Baker's 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 22, 1999 - Present

FOCUS ASSET MANAGEMENT COMPANY

RIA

CRD#: 113750

Portsmouth, VA

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

Virginia
(1/22/1999)

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: 1/15/1999

Uniform Investment Adviser Law Examination

Current Firm

FOCUS ASSET MANAGEMENT COMPANY

CRD#: 113750 / SEC#: 801-68102

RIA

Registered Investment Advisory firm - (4/17/2012 Terminated)

Virginia

Registered Investment Advisory firm - (4/3/2012 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Virginia Beach, VA

Mailing Address

Po Box 9326, Chesapeake, VA 23321

Phone number

(757) 499-5000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	201
AUM (Assets Under Management)	$ 72,948,416

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/29/2025	Cover Page	Report
10/31/2024	Cover Page	Report
08/23/2023	Cover Page	Report
11/28/2022	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lawton H. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawton Henry Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOCUS ASSET MANAGEMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/1999

Current Firm

FOCUS ASSET MANAGEMENT COMPANY

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FOCUS ASSET MANAGEMENT COMPANY

TRUST BUT VERIFY

Similar Advisors