SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Baron Capital Management, Inc.
New York, NY
CRD 110791
Firm filing updated May 29, 2026 ·
- $10.8BAssets
- 41Advisory staff
- 125Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals15
- Pension and profit sharing plans10
- Pooled vehicles7
- Corporations or other businesses7
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 15 | $364.3 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 7 | $7.1 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 10 | $2.3 billion |
| Charitable organizations | Fewer than 5 clients | $315.0 million |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $63.1 million |
| Corporations or other businesses not listed above | 7 | $460.4 million |
| Other: "WRAP ACCOUNTS & OTHER" | 80 | $217.8 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$10.8 billion
- Accounts125
- DiscretionaryAll accounts
People
- Employees221
- Advisory staff41
- Broker-dealer reps70
- Licensed insurance agents0
- Planning clients0
Registration details
- SEC-registered investment advisor. CRD 110791, SEC file 801-18656.
- Registered with the SEC as an investment advisor (status date on record: April 15, 1983).
Is Baron Capital Management, Inc. a fiduciary?
Short answer: Baron Capital Management, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 70 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.