Ferris, Baker Watts, LLC (Baltimore)

Name: Ferris, Baker Watts, LLC
Address: 100 Light Street, Baltimore, MD, 21202
Telephone: 410-685-2600

Ferris, Baker Watts, LLC is a large advisory firm based in Baltimore. It manages $938.25 million of regulatory assets for 2,687 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Ferris, Baker Watts provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ferris, Baker Watts: assets under management

The assets under management (AUM) of Ferris, Baker Watts, LLC is $938.25 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $845.24 million in discretionary accounts and $93 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $346.41 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $376.53 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ferris, Baker Watts, LLC for their services and products based on a percentage of assets under management and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Ferris, Baker Watts, LLC

John Godfrey Taft has been acting as President since 1 Jun 2008. Lenee Beth Dirzuweit joined the executive team most recently as the Rosfp.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Wendy Susan Gildemeister	Chief operations officer	1 Sep 1997	Other	1366011
Craig Robert Hartman	Cfo	1 Jul 2001	Other	4413090
Roger Lee Calvert	Ceo	1 Jan 2002	Other	38752
Dana Sirkis Gloor	Clo	1 Nov 2006	Other	5248205
Patricia Ann Rutherford	Chief compliance officer	1 Dec 2006	Other	5059176
Aaron Michael Szager	Rosfp	1 Dec 2006	Other	4331724
Adrian George Teel	Chief operating officer	1 Mar 2007	Other	4245241
William Carl Coquelin	Chief information officer	1 Jul 2007	Other	xxx-xx-xxxx
Rbc Capital Markets Corporation	100% owner	1 Jun 2008	75% - 100%	31194
John Godfrey Taft	Director	1 Jun 2008	Other	1007933
Karl Vernon Leaverton	Director	1 Jun 2008	Other	1106831
Michael Robert Kavanagh	Director	1 Jun 2008	Other	1021014
Lenee Beth Dirzuweit	Rosfp	1 Oct 2008	Other	2480492
James Douglas Chapman	Ceo	1 Oct 2008	Other	728296
Deborah Joy Kermeen	Coo	1 Oct 2008	Other	2235924

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Rbc Captial Markets Holdings (Usa) Inc.	Direct owner	1 Mar 1998	75% - 100%	41-1228350
Royal Bank Of Canada	Ultimate owner	1 Jan 2001	75% - 100%	13-5357855
Royal Bank Holding Inc.	Indirect owner	1 Aug 2002	75% - 100%	89-7712238
Rbc Holdings (Usa) Inc.	Indirect owner	1 Oct 2003	75% - 100%	13-3237290
Rbc Usa Holdco Corp.	Indirect owner	1 Oct 2003	75% - 100%	20-0563684

Based in Baltimore

The principal office where Ferris, Baker Watts, LLC performs its advisory services is located at 100 Light Street, Baltimore, MD 21202 The mailing address of the firm is 100 Light Street, Baltimore, MD 21202. An additional office of the firm is in Wilmington, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 410-685-2600 or by fax 410-659-6711. The normal business hours are 8:30am to 5:15pm on Monday - Friday. You can find more information about the New York firm at www.fbw.com.