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RB

Robert G. Baer

BAER INVESTMENT ADVISORY LLC
San Rafael, CA
Some features on this profile are disabled
CRD#: 4233785
RB

Professional summary

Robert Gordon Baer is a registered financial advisor currently at BAER INVESTMENT ADVISORY LLC located in San Rafael, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Robert has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

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 Robert Gordon Baer'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 26, 2022 - Present

BAER INVESTMENT ADVISORY LLC

RIA
CRD#: 152063
San Rafael, CA
Past

June 30, 2008 - January 27, 2022

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

August 8, 2005 - June 13, 2008

SAL. OPPENHEIM JR. & CIE. SECURITIES INC.

BD
CRD#: 23449
NEW YORK, NY
Past

November 8, 2000 - July 19, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, 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".
BI
BAER INVESTMENT ADVISORY LLC
BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY

CRD#: 152063 / SEC#: 801-132149

RIA
Registered Investment Advisory firm - (3/7/2025 Approved)
California
Registered Investment Advisory firm - (4/12/2025 Terminated)
New York
Registered Investment Advisory firm - (3/13/2025 Terminated)

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
(1/26/2022)
IAR
New York
(7/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/26/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/10/2000
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 3
Date: 11/3/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/2000
General Securities Representative Examination

Current Firm

BI
BAER INVESTMENT ADVISORY LLC
BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY

CRD#: 152063 / SEC#: 801-132149

RIA
Registered Investment Advisory firm - (3/7/2025 Approved)
California
Registered Investment Advisory firm - (4/12/2025 Terminated)
New York
Registered Investment Advisory firm - (3/13/2025 Terminated)
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Contact information

Main Address
Tiburon, CA
Mailing Address
Phone number
(415) 717-1101
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (4 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 2A - BAER INVESTMENT ADVISORY LLC (10/6/2025)
ADV PART 2B - DAREL BAER (10/6/2025)
ADV PART 2B - ROBERT BAER (3/11/2025)
ADV PART 2B - GREGORY SMITH (3/11/2025)

Regulatory assets under management

Total Number of Accounts89
AUM (Assets Under Management)$ 126,720,000

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

BAER INVESTMENT ADVISORY LLC

CRD#: 152063San Rafael, CA

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