{
  "crd_number": 38751,
  "slug": "leigh-baldwin-and-co-llc-cazenovia-ny-38751",
  "primary_business_name": "LEIGH BALDWIN & CO., LLC",
  "legal_name": "LEIGH BALDWIN & CO., LLC",
  "dbas": [
    "DOLLAR INVESTMENT CLUB (\"DINC\")",
    "LEIGH BALDWIN ADVISORY"
  ],
  "city": "Cazenovia",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "45060",
  "metro": {
    "cbsa_code": "45060",
    "common_name": "Syracuse",
    "msa_name": "Syracuse, NY",
    "path": "/advisors/ny/syracuse"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2008-06-24",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-05-19",
  "carried_forward": false,
  "raum_total": 290629757.0,
  "raum_discretionary": 290629757.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 16,
  "advisory_employees": 16,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 21996985.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 123524561.0,
      "count": 608
    },
    "pension_profit_sharing": {
      "raum": 2865296.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 139232224.0,
      "count": 68
    },
    "corporations_other_businesses": {
      "raum": 3010691.0,
      "count": 6
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "CT",
    "DE",
    "FL",
    "GA",
    "IL",
    "MA",
    "NC",
    "NJ",
    "NY",
    "PA",
    "SC",
    "TX",
    "VA"
  ],
  "websites": [
    "https://dollarinvestmentclub.com",
    "https://facebook.com/DollarInvestmentClub",
    "https://facebook.com/Leigh-Baldwin-Co-LLC-239756819401380",
    "https://leighbaldwin.com",
    "https://leighbaldwinadvisory.com",
    "https://linkedin.com/company/leigh-baldwin-co",
    "https://linkedin.com/in/dollar-investment-club-96030966",
    "https://pinterest.com/dinclub",
    "https://twitter.com/DINClub"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/38751",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "CAZENOVIA",
  "url": "https://advisorcensus.com/firm/leigh-baldwin-and-co-llc-cazenovia-ny-38751",
  "display_name": "Leigh Baldwin & Co., LLC",
  "summary": "Leigh Baldwin & Co., LLC is an SEC-registered investment advisory firm in Cazenovia, NY, registered since 2008, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 19, 2026.",
  "citation": "AdvisorCensus. Leigh Baldwin & Co., LLC (CRD 38751): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Leigh Baldwin & Co., LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Leigh Baldwin & Co., LLC reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Leigh Baldwin & Co., LLC located?",
      "a": "Leigh Baldwin & Co., LLC's principal office is in Cazenovia, NY, according to its Form ADV; the June 2026 filing also lists 8 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Leigh Baldwin & Co., LLC registered with the SEC or a state?",
      "a": "Leigh Baldwin & Co., LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 38751."
    },
    {
      "q": "How much does Leigh Baldwin & Co., LLC manage?",
      "a": "Leigh Baldwin & Co., LLC reports $290,629,757 in regulatory assets under management in its Form ADV filing dated May 19, 2026 (100% discretionary)."
    },
    {
      "q": "How have Leigh Baldwin & Co., LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Leigh Baldwin & Co., LLC: Regulatory assets under management: $133,150,516 in the October 2021 data and $290,629,757 in the October 2026 data, up 118%. Total employees: 10 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Leigh Baldwin & Co., LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (608); high net worth individuals (68); corporations or other businesses not listed above (6)."
    },
    {
      "q": "Does Leigh Baldwin & Co., LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/38751"
    },
    {
      "q": "What changed in Leigh Baldwin & Co., LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 18 to 16. Changed its office addresses in Utica, NY. No longer lists an office in Stanhope, NJ."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 133150516.0,
      "total_employees": 10,
      "filing_date": "2021-09-10"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 182368225.0,
      "total_employees": 20,
      "filing_date": "2022-06-21"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 179985619.0,
      "total_employees": 21,
      "filing_date": "2023-04-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 232011373.0,
      "total_employees": 18,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 285522208.0,
      "total_employees": 18,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 290629757.0,
      "total_employees": 16,
      "filing_date": "2026-05-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 18 to 16.",
        "Changed its office addresses in Utica, NY.",
        "No longer lists an office in Stanhope, NJ."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/leigh-baldwin-and-co-llc-cazenovia-ny-38751.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 608,
      "fewer_than_5": false,
      "raum": 123524561.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 68,
      "fewer_than_5": false,
      "raum": 139232224.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 2865296.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 21996985.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 6,
      "fewer_than_5": false,
      "raum": 3010691.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/38751",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}