Simon Baker has been Executive Chairman / Partner of Baker Avenue Asset Management since October 2004, is a control person of the firm and directly owns between 50% and 75% of it.
Baker Avenue Asset Management, LP is a San Francisco, CA firm with $5.09B under management, 1,024 clients and 29 advisers across 14 offices, as of its September 2026 filing.
Simon Baker is Founder, Executive Chairman & Partner of BakerAvenue. He chairs the executive committee, is a member of the investment committee, sets the firm's vision and development of strategies and services, and has responsibility for its Family Office clients. Before launching BakerAvenue in 2004, he was a Managing Director at Bank of America Securities, Donaldson, Lufkin and Jenrette (DLJ) and Credit Suisse First Boston (CSFB).
Simon Baker’s longest registration is the current one, 21 years at Baker Avenue Asset Management since 2005. Before joining Baker Avenue Asset Management in 2005, Simon Baker was registered through Banc of America Investment Services, Inc. and Banc of America Securities LLC.
- Veridi Capital– · 2 yearsSan Francisco, CA · Adviser representative · Firm CRD 304374
- Simonbaker & Partners LLC– · 1 yearNaples, FL · Adviser representative · Firm CRD 282303
- Great Gable Partners, LP– · 9 yearsSan Francisco, CA · Adviser representative · Firm CRD 133184
- Banc of America Investment Services, Inc.– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 16361
- Banc of America Securities LLC– · under a yearSan Francisco, CA · Adviser representative · Firm CRD 26091
- Donaldson Lufkin & Jenrette Securities Corporation– · 5 yearsSan Francisco, CA · Adviser representative · Firm CRD 7560
Investment adviser representative registrations
Simon Baker is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from January 2005; the most recent is Texas, in September 2008.
- CaliforniaSince 20 January 2005
- TexasResidentSince 22 September 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 24 May 2001 |
| Series 31 | Futures Managed Funds Examination | 28 March 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 February 1994 |
| Series 7 | General Securities Representative Examination | 17 February 1994 |
- Name
- Uniform Combined State Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Simon Gareth Baker
- CRD
- 2440645
- Firm
- Baker Avenue Asset Management · CRD 132657
- Role
- Executive Chairman / Partner
- Office
- 301 BATTERY ST, FLOOR 2, San Francisco, CA 94111
- Registration
- Investment adviser registration
- In the industry since
- August 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bakerave.com
Where does Simon Baker work?
Simon Baker has been Executive Chairman / Partner of Baker Avenue Asset Management, LP since October 2004, and is a control person of the firm.
Is Simon Baker a financial advisor?
Yes. Simon Baker has a current investment-adviser registration in California and Texas, through Baker Avenue Asset Management since January 2005.
How many years of experience does Simon Baker have?
Simon Baker has 29 years in the financial industry, since August 1997, across 7 adviser firms.
What exams has Simon Baker passed?
Simon Baker has passed 4 licensing exams: the Series 7, Series 63, Series 31 and Series 66. The earliest, the Series 7, was passed in February 1994.
Where did Simon Baker work before Baker Avenue Asset Management?
Before Baker Avenue Asset Management, Simon Baker was registered through Banc of America Investment Services, Inc., August 2003 to December 2004; Banc of America Securities LLC, September 2002 to August 2003; Donaldson Lufkin & Jenrette Securities Corporation, July 1997 to October 2002.
Where is Simon Baker based?
Simon Baker’s registered office is in San Francisco, CA.
Is Simon Baker registered with FINRA?
No. Simon Baker has no current broker registration.
How can I verify Simon Baker’s record?
Search CRD 2440645 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Simon Baker’s full registration record.
Tom NgoPresident & CEO / Partner
Gerald LuffChief Operating Officer / Partner- Gerald LuffChief Operating Officer
Michael MoranChief Compliance Officer
Doug CoudenChief Investment Officer / Partner
King LipChief Strategist / Partner
Gerry OconnellPartner- Sharon SimpsonPartner
Scott StephensManaging Director / Partner
Tanya WelchPartner