Leigh Baldwin & Co., LLC (Cazenovia)

Name: Leigh Baldwin & Co., LLC
Address: 112 Albany Street, Cazenovia, NY, 13035
Telephone: 315-655-2964

Leigh Baldwin & Co., LLC is an investment adviser to an investment company based in Cazenovia. It manages $65.63 million of regulatory assets for 286 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of California, Florida, New Jersey, New York, and Pennsylvania.

Leigh Baldwin & Co. provides portfolio management for individuals and small businesses, portfolio management for investment companies, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Leigh Baldwin & Co.: assets under management

The assets under management (AUM) of Leigh Baldwin & Co., LLC is $65.63 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 6513% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $65.63 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $229.47 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 52% of the total AUM. The second-largest asset type is non-exchange traded securities, which make up 19% of the firm’s portfolio. Investments in cash and cash equivalents form 15% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Leigh Baldwin & Co., LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Leigh Baldwin & Co. serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Leigh Baldwin & Co. is individuals with 226 clients and $38.71 million of assets under management. Among the 0 most similar advisory firms, Leigh Baldwin & Co. has the 0th lowest percentage of individuals out of all clients.

The amount of regulatory assets under management is $65.63 million for 241 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Leigh Baldwin & Co. doesn't advise any private funds.

Careers at Leigh Baldwin & Co., LLC

The company employs 7 people that are either part- or full-time employees. 86 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Leigh Douglas Baldwin	President / owner / managing member	1 Feb 1995	75% - 100%	1895333
Sharon Risley Halligan	Financial operations principal	1 Aug 1995	Other	1074634
Sharon Risley Halligan	Chief compliance officer	1 Jan 1997	Other	1074634
Inc. Leigh Baldwin & Co.	Owner	1 Jan 2003	Other	56-2286892

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Leigh Douglas Baldwin	Owner	1 Jan 2003	75% - 100%	1895333

Based in Cazenovia

The principal office where Leigh Baldwin & Co., LLC performs its advisory services is located at 112 Albany Street, Cazenovia, NY 13035, which is also the mailing address of the firm. An additional office of the firm is in Moravia, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 315-655-2964 or by fax 315-655-9138. The normal business hours are 8 am - 5 pm on Monday - Friday. You can find more information about the New York firm at leighbaldwin.com.