Brian M. Baum

FAMILY WEALTH PARTNERS

Matthews, NC 28105

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CRD#: 6772725

Professional summary

Brian Matthew Baum, CFP®, who also goes by Brian Baum, is a registered financial advisor currently at FAMILY WEALTH PARTNERS, LLC located in Matthews, North Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Brian has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Baum

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 Brian Matthew 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

Experience

Current

March 4, 2024 - Present

FAMILY WEALTH PARTNERS, LLC

Office #1: 2518 Plantation Center Drive, Matthews, NC 28105

RIA

CRD#: 317764

Matthews, NC

Past

February 6, 2019 - March 8, 2024

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

CHARLOTTE, NC

Past

April 27, 2017 - March 8, 2024

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

FAMILY WEALTH PARTNERS, LLC

CRD#: 317764 / SEC#: 801-123089

RIA

Registered Investment Advisory firm - (1/21/2022 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

North Carolina
(3/4/2024)

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: 9/24/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/2017

General Securities Representative Examination

Current Firm

FAMILY WEALTH PARTNERS, LLC

CRD#: 317764 / SEC#: 801-123089

RIA

Registered Investment Advisory firm - (1/21/2022 Approved)

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Contact information

Main Address

2518 Plantation Center Drive, Matthews, NC 28105

Mailing Address

Phone number

(704) 321-0152

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

2026-02-18 FAMILY WEALTH PARTNERS FORM ADV PART 2A (2/18/2026)

Regulatory assets under management

Total Number of Accounts	1,020
AUM (Assets Under Management)	$ 392,445,796

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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Advisor Monitoring

Firm Stability Insights

Brian M. Baum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FAMILY WEALTH PARTNERS, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

FAMILY WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2018

Series 63

Date: 5/8/2017

SIE

Date: 10/1/2018

Series 7

Date: 4/27/2017

Current Firm

FAMILY WEALTH PARTNERS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAMILY WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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