SourcingSourcing

BAXTER BROTHERS INC.

C43
CRD 106548·SEC 801-1939·RIVERSIDE, CT
AUM
$1.17B
$1B+
Est. Revenue
$11.7M
@ 1% on AUM
Est. EBITDA
$3.5M
@ 30% margin
Est. Deal Value
$28.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BAXTER BROTHERS INC.
CRD
106548
SEC file #
801-1939
EIN
131926156
DBA names
Baxter Investment Management

Economics

AUM
$1.17B
AUM band
$1B+
AUM trajectory
'20'26
$495.1M → $1.17B▲ +135%
Client mix
Individuals High Net Worth222
Individuals Other203
Pension Profit Sharing Plans9
Corporations7
Charitable Organizations5

Operations

Employees (total)
7
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
4 advisors → 5 advisors▲ +25%
Primary office
RIVERSIDE CT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/11/2026
ADV-W filed at
—
Website
baxterinvestment.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BAXTER, WILLIAM, JOSEPH
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
BAXTER, WILLIAM, JOSEPH
BAXTER, JOHN, C
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
BAXTERINVESTMENT.COM
Rdap Domain Creation Date
1999-02-16T05:00:00Z
Rdap Firm Age Years
27
Rdap Firm Age Band
20+y
Rdap Registrar
Cloudflare, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001096783
Edgar Registered
Yes
Edgar Filing Count
108
Edgar First Filing Date
1999-12-07
Edgar Last Filing Date
2026-04-28
Edgar 13f Count
108
Edgar 13f Latest AUM Estimate
Filing Date2026-04-28
Accession0001096783-26-000002
Edgar Former Names
BAXGER BROS INC

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
1030 EAST PUTNAM AVERIVERSIDE, CT 06878
Business
1030 EAST PUTNAM AVERIVERSIDE, CT 06878
Edgar EIN
131926156
Edgar Recent Filings
13F-HR2026-04-28 · 0001096783-26-000002
13F-HR2026-01-26 · 0001096783-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-16T05:00:00Z
Rdap Domain Last Changed
2026-01-30T18:51:43Z
Rdap Nameservers
Alice.ns.cloudflare.comJonah.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1827361
Trust Company Affiliate
No

People (6)

6
BAXTER, WILLIAM, JOSEPH
IAR · Direct Owner · 62.5%
1827361
BAXTER, JOHN, C
IAR · Direct Owner · 37.5%
4136822
BAXTER, CLAIRE
Executive Officer · 2.5%
7184973
DAMON LANE HART
IAR
2057066
JONATHAN BRADFORD SMITH
IAR
2003076
William Joseph Baxter
IAR
6883554