Brian D. Baum

INTERCHANGE CAPITAL PARTNERS

PITTSBURGH, PA 15219

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CRD#: 5932958

Professional summary

Brian David Baum, CFP® is a registered financial advisor currently at INTERCHANGE CAPITAL PARTNERS located in Pittsburgh, Pennsylvania.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Brian has worked at 3 firms and has passed the Series 66, SIE, Series 31 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.

1) 06/2011 Independent Licensed insurance Agent; Investment Related; Pittsburgh, PA; Life, Long Term Care, Fixed and Variable Annuity 2) 01/2022 Defiant Interchange Advisors LLC; M&A Advisory Firm; Investment Related; Pittsburgh, PA; Partner; Sell-side, buy-side and strategic business advisory; 10 hours/month; .4 hours/During trading hours; Advise on the optimal structure for a business owner client to maximize their post-transaction net worth from the sale of a business. 3) Astrove Family LLC; Non-investment related; Distribution Manager; Approve or deny distributions to partners; October 2023; Less than one hour per month; 0 hours during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Baum'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

June 12, 2020 - Present

INTERCHANGE CAPITAL PARTNERS

Office #1: 301 Grant Street Suite 3550, Pittsburgh, PA 15219

RIA

CRD#: 309314

PITTSBURGH, PA

Past

June 12, 2020 - October 5, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Pittsburgh, PA

Past

February 14, 2013 - July 6, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PITTSBURGH, PA

Past

September 11, 2012 - July 6, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PITTSBURGH, PA

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".

INTERCHANGE CAPITAL PARTNERS

INTERCHANGE CAPITAL PARTNERS | INTERCHANGE CAPITAL PARTNERS, LLC

CRD#: 309314 / SEC#: 801-118862

RIA

Registered Investment Advisory firm - (6/8/2020 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

Pennsylvania
(6/12/2020)

IAR

Texas
(6/12/2020)

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 66

Date: 10/5/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/22/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/10/2012

General Securities Representative Examination

Current Firm

INTERCHANGE CAPITAL PARTNERS

INTERCHANGE CAPITAL PARTNERS | INTERCHANGE CAPITAL PARTNERS, LLC

CRD#: 309314 / SEC#: 801-118862

RIA

Registered Investment Advisory firm - (6/8/2020 Approved)

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Contact information

Main Address

301 Grant Street Suite 3550, Pittsburgh, PA 15219

Mailing Address

Phone number

(412) 307-4230

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INTERCHANGE CAPITAL PARTNERS, LLC ADV BROCHURE (10/14/2025)

Regulatory assets under management

Total Number of Accounts	1,266
AUM (Assets Under Management)	$ 595,946,643

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
11/25/2024	Cover Page	Report
12/19/2023	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.

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Firm Stability Insights

Brian D. Baum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Baum's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

INTERCHANGE CAPITAL PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2012

SIE

Date: 10/1/2018

Series 31

Date: 10/22/2012

Series 7

Date: 9/10/2012

Current Firm

INTERCHANGE CAPITAL PARTNERS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INTERCHANGE CAPITAL PARTNERS

TRUST BUT VERIFY

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