Richard Baker
Richard Baker is a registered investment advisor at Vanguard Advisers, INC., based in Malvern, PA, with 22 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Retirement Planning. Their firm serves 817,328 clients with $300B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Vanguard Situational Advisor offers a one-time financial plan consultation for a fee:
- New Model: $250, potentially paid by the participant, the plan sponsor, or a combination of both.
- Legacy Model:
- $250 for participants with $50,000 to $500,000 in total Vanguard assets.
- $1,000 for participants with less than $50,000 in total Vanguard assets. Fee waivers are available for participants with over $500,000 in total Vanguard assets or who are over age 55.
Location
100 Vanguard Blvd, Malvern, PA, 19355
Get directionsHistory
Regulatory History (1)
Customer Dispute
October 2002Other Business Activities
Richard is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This activity is not investment-related.
Employment History
Current Registrations
Vanguard Advisers, INC.
Vanguard Marketing Corporation
Vanguard Marketing CorporationBroker
Previous Registrations
Wachovia Securities, LLCBroker
Hsbc Brokerage (USA) INC.Broker
Salomon Smith Barney INC.Broker
Prudential Securities IncorporatedBroker
Painewebber IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
The Stuart-James Company, INC.Broker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.