Baker & Associates Registered Investment Advisors, LLC
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About
Baker & Associates Registered Investment Advisors serves foundations, small businesses, start‑ups, high‑net‑worth individuals and retail clients who access alternative channels such as crowdfunding. The firm offers non‑discretionary investment advisory and financial planning services, retirement consulting, and assistance with business funding and private placements, and coordinates legacy planning and insurance solutions through third‑party providers.
The advisor constructs portfolios using the Orion Portfolio Solutions platform and a documented, step‑by‑step proposal process, employing both fundamental and technical analysis and a three‑tiered balanced‑portfolio structure. BARIA incorporates impact‑investing criteria into its investment screens and generally provides recommendations on a non‑discretionary basis for clients to review and implement.
Compared with many peers, the firm emphasizes subscription and self‑directed planning and financial‑literacy offerings — including portal access, workshops and course content developed with third‑party and AI tools — alongside more traditional advisory work. It also actively supports business capital raising through private placements and crowdfunding (using a traditional placement fee scale) and discloses referral and insurance‑product relationships with independent marketing organizations.
Client services
Expertise
Occupation focus
Fee options
Fixed fees on financial planning and project basis, ranging $250 to $2,500 depending on complexity; Fixed fees on Private Placement assessments from $500 to $2,500.
$0 - $99,999: 1.00% annually (0.25% quarterly) $100,000 - $299,999: 0.95% annually (0.2375% quarterly) $300,000 - $999,999: 0.90% annually (0.225% quarterly) $1,000,000 - $2,999,999: 0.85% annually (0.2125% quarterly) $3,000,000+: Negotiable
Hourly fee up to $250 for financial planning; Private Placement consulting fees up to $500/hour; Consulting fees $200 to $250/hour depending on hours.
Private Placement fees for qualified clients based on Lehman scale: 5% first $1M, 4% second $1M, 3% third $1M, 2% fourth $1M, 1% thereafter; For non-qualified clients flat 3% of funds raised.
Subscription services for financial planning portal access and financial literacy training; fees not specifically stated, available through paid access.
Minimum fee: Current assessment fees from $250 to $2,500 (negotiated based on requirements). Initial consultation no charge. Fee-only: Fee-based services; no commissions or mark-ups on advisory management services.
Main office
San Leandro CA
Advisors at this office
1
Most active in
California
Also doing business as
Baker & Associates Investment Advisors · Baker & Associates Registered Investment Advisors, LLC · Baker & Associates, Registered Investment Advisorsa · Baker, Aaron M.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
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