Carol H. Baldi, Inc. (New York)

Carol H. Baldi, Inc. is a mid-sized advisory firm based in New York. It manages $41.67 million of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Connecticut.

Carol H. Baldi provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Carol H. Baldi: assets under management

The assets under management (AUM) of Carol H. Baldi, Inc. is $41.67 million. The firm's AUM has gone down by -70% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $33.47 million in discretionary accounts and $8.2 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.57 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $8.2 million.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Carol H. Baldi, Inc. for their services and products based on commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Carol H. Baldi, Inc.

Carol Holbrook Baldi has been acting as President since 1 Jan 1980. Sarah Lamattina joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Carol Holbrook Baldi	President	1 Jan 1980	75% - 100%	1485896
Paul Louis Baldi	Secretary	1 Jun 1987	Other	4340674
Sarah Lamattina	Chief compliance officer	1 Oct 2004	Other	5030397
Elva M Kelsey	Co-compliance officer	1 Oct 2004	Other	5030433

Based in New York

The principal office where Carol H. Baldi, Inc. performs its advisory services is located at 420 Lexington Ave, New York, NY 10170, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.