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BAXTER INVESTMENT MANAGEMENT
Legal name: BAXTER BROTHERS INC.
CRD 106548File 801-1939
APPROVED
Retail clients
Custody
Filing as of Mar 11, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.17B
Above cohort median (national)
Discretionary AUM
$1.17B
Clients
446
1,057 accounts
Employees
7
Above cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- May 1, 1959
- Principal office
- 1030 EAST PUTNAM AVENUE, RIVERSIDE, CT, 06878
- Phone
- 203-637-4559
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.17B
- Discretionary AUM
- $1.17B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,057
- Non-discretionary accounts
- 0
- Total accounts
- 1,057
- AUM per client
- $2.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 7 | $17.2M |
| Charitable organizations | 5 | $22.3M |
| High net worth individuals | 222 | $1.05B |
| Pension and profit sharing plans | 9 | $9.3M |
| Individuals (other than high net worth individuals) | 203 | $66.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 434 | 446 | increased by12 |
| Apr 1, 2026 | AUM | $1,008,336,559 | $1,165,631,297 | increased by$157,294,738 |
| Apr 1, 2026 | Accounts | 1,032 | 1,057 | increased by25 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 413 | 434 | increased by21 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $865,402,566 | $1,008,336,559 | increased by$142,933,993 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 396 | 1,032 | increased by636 |
| Apr 1, 2022 | Clients | 379 | 413 | increased by34 |
| Apr 1, 2022 | AUM | $706,270,884 | $865,402,566 | increased by$159,131,682 |
| Apr 1, 2022 | Accounts | 379 | 396 | increased by17 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BAXTER INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BAXTER INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.