Stephen M. Baroni

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CRD#: 4625721

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Mark Baroni was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2003. Stephen had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

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.

NAME: FRANK, RIMERMAN & CO., LLP; INVESTMENT-RELATED?: NO; ADDRESS: 60 S. MARKET ST., SUITE 500, SAN JOSE, CA 95113; OTHER LOCATIONS: 1) 2882 SAND HILL ROAD, STE 150, MENLO PARK, CA 94025, AND 2) ONE EMBARCADERO CENTER, SUITE 2410, SAN FRANCISCO, CA 94111; NATURE OF BUSINESS: SERVICES TO INDIVIDUALS & COMPANIES, INCLUDING: * TAX CONSULTING & PLANNING * ASSURANCE & ADVISORY SERVICES * ACCOUNTING SERVICES * LITIGATION SUPPORT & BUSINESS VALUATION * MANAGEMENT CONSULTING; POSITION: CERTIFIED PUBLIC ACCOUNTANT AND A BUSINESS SERVICES PARTNER; START DATE WITH FRANK, RIMERMAN & CO., LLP: 09/1989, BUT ASSUMED DEPARTMENT HEAD RESPONSIBILITY IN 09/1999; APPROX. HOURS/MTH DEVOTED TO THIS BUSINESS: 200 HRS/MTH; APPROX. HOURS/MTH DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 200 HRS/MTH; DUTIES: RENT A C.F.O. SERVICES, BUSINESS DEVELOPMENT, AND MANAGEMENT OF PERSONNEL.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 15, 2003 - October 24, 2023

FRANK, RIMERMAN ADVISORS LLC

RIA

CRD#: 124147

SAN JOSE , CA

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".

FRANK, RIMERMAN ADVISORS LLC

CRD#: 124147 / SEC#: 801-62201

RIA

Registered Investment Advisory firm - (7/1/2003 Approved)

California

Registered Investment Advisory firm - (10/22/2003 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/2/2002

Uniform Investment Adviser Law Examination

Current Firm

FRANK, RIMERMAN ADVISORS LLC

CRD#: 124147 / SEC#: 801-62201

RIA

Registered Investment Advisory firm - (7/1/2003 Approved)

California

Registered Investment Advisory firm - (10/22/2003 Terminated)

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Contact information

Main Address

1801 Page Mill Road, Palo Alto, CA 94304

Mailing Address

Phone number

(650) 845-8100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FRANK RIMERMAN - PART 2A MARCH 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	430
AUM (Assets Under Management)	$ 3,018,353,573

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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Stephen M. Baroni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FRANK, RIMERMAN ADVISORS LLC

Primary Firm SEC Registration

FRANK, RIMERMAN ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/2/2002

Current Firm

FRANK, RIMERMAN ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FRANK, RIMERMAN ADVISORS LLC

TRUST BUT VERIFY

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