# Baffin Advisors LLC

> Baffin Advisors LLC is an SEC-registered investment advisory firm, registered since 2009, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.

- CRD: 151202
- Filed as: BAFFIN ADVISORS LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: March 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/151202
- AdvisorCensus page: https://advisorcensus.com/firm/baffin-advisors-llc-151202

## Quick answers

**How is Baffin Advisors LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Baffin Advisors LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Baffin Advisors LLC charge?**
Its Form ADV Part 2A brochure dated March 25, 2026 states: Asset-based fee: 1% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Is Baffin Advisors LLC registered with the SEC or a state?**
Baffin Advisors LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 151202.

**How much does Baffin Advisors LLC manage?**
Baffin Advisors LLC reports $103,904,710 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (81% discretionary).

**How have Baffin Advisors LLC's assets and staff changed since 2021?**
In the Form ADV data for Baffin Advisors LLC: Regulatory assets under management: $74,249,543 in the October 2021 data and $103,904,710 in the October 2026 data, up 40%. Total employees: 3 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Baffin Advisors LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (9).

**Which custodians does Baffin Advisors LLC use?**
Baffin Advisors LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley as custodians holding 10% or more of its separately managed account assets.

**Does Baffin Advisors LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/151202

**What changed in Baffin Advisors LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $121,502,556 to $103,904,710 (-14%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Asset-based fee: 1% of assets a year

> The general rule is 1% of assets under management, per year, billed on a quarterly basis.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- J.P. Morgan Securities LLC
- Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Morgan Stanley

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $103,904,710
- Discretionary: $83,940,348
- Non-discretionary: $19,964,362

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 9 | $103,904,710 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2009 (17 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Harrison, NY

### Websites listed on Form ADV (Item 1.I)
- baffinadvisors.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $74,249,543 | 3 | March 24, 2021 |
| October 2022 | $69,191,301 | 3 | April 5, 2022 |
| October 2023 | $62,619,880 | 3 | March 29, 2023 |
| October 2024 | $119,547,118 | 3 | March 27, 2024 |
| October 2025 | $121,502,556 | 3 | March 26, 2025 |
| October 2026 | $103,904,710 | 1 | March 25, 2026 |

Regulatory assets under management: $74,249,543 in the October 2021 data and $103,904,710 in the October 2026 data, up 40%.
Total employees: 3 in October 2021 and 1 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $121,502,556 to $103,904,710 (-14%).

### December 2025
- Registered or notice-filed in FL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Baffin Advisors LLC (CRD 151202): Form ADV filing data as of October 2026.