Chief Compliance Officer · Baxter Investment Management
Claire Baxter
CRD 7184973 · Named on Form ADV at one SEC-registered adviser
At a glance
Baxter Investment Management, an SEC-registered wealth manager based in Riverside, CT with $1.2 billion in regulatory assets, lists Claire Baxter on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- Baxter Investment ManagementChief Compliance OfficerWealth manager · Riverside, CT · $1.2B in regulatory assets
AtlasMembers
Claire’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- William J. BaxterPresident, Secty, Treas, Baxter Investment Management
- John C BaxterPrincipal, Portfolio Manager, Baxter Investment Management
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Claire’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.