# EDGAR Filing Document

**Accession Number:** 0001615380
**File Stem:** 0001615380-23-000001
**Filing Date:** 2023-1
**Character Count:** 17702
**Document Hash:** bb549103179c9233a3f76fa907eaabec
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001615380-23-000001.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001615380-23-000001

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230118

**DATE AS OF CHANGE**: 20230127

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Baker Group LP
- **CENTRAL INDEX KEY:** 0001615380
- **IRS NUMBER:** 731404224
- **STATE OF INCORPORATION:** OK
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01211
- **FILM NUMBER:** 23560021

**BUSINESS ADDRESS:**
- **STREET 1:** 1601 NW EXPRESSWAY
- **STREET 2:** 20TH FLOOR
- **CITY:** OKLAHOMA CITY
- **STATE:** OK
- **ZIP:** 73118
- **BUSINESS PHONE:** 405-415-7200

**MAIL ADDRESS:**
- **STREET 1:** 1601 NW EXPRESSWAY
- **STREET 2:** 20TH FLOOR
- **CITY:** OKLAHOMA CITY
- **STATE:** OK
- **ZIP:** 73118

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001615380

**Filer CCC:** XXXXXXXX

**Contact Name:** Misty Wrinkle

**Contact Phone:** 405-415-7202

**Contact Email:** mwrinkle@gobaker.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Baker Group LP

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 7888

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 73-1404224

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00564-00

- **Municipal Advisor:** SEC File No: 867-01211

- **Broker-Dealer:** SEC File No: 008-23684, CRD No: 7888

- **SEC-Registered Investment Adviser:** CRD No: 7888

**E. Principal Office and Place of Business:** 1601 NW EXPRESSWAY, 20TH FLOOR, OKLAHOMA CITY, OK, 73118

**Telephone Number:** 405-415-7200

**Additional Offices of Employment:**

- **Office #1 (Add):** 100 Crescent Court, 7th Floor, Dallas, TX, 75201 | Phone: 844-213-0491

- **Office #2 (Delete):** 375 Deer Park Avenue, 1st Floor, Babylon, NY, 11702 | Phone: 800-937-2224

- **Office #3 (Amend):** 825 Town & Country Drive, Suite 1200, Houston, TX, 77024 | Phone: 833-669-1109

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.gobaker.com

**G. Chief Compliance Officer (CCO):**

**Name:** Misty Wells Wrinkle

**Address:** 1601 NW Expressway, Oklahoma City, OK, 73118

**Phone Number:** 405-415-7202

**Email:** mwrinkle@gobaker.com

**H. Business Affiliates:**

- **Name:** James Baker Group LP

- **Name:** The Baker Group Software Solutions

- **Name:** Baker Asset Managment, LLC

  - **Issuing Agency:** U.S. Securities & Exchange Commission

  - **Jurisdiction:** 

- **Name:** The Baker Group LP

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Partnership (LP)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** OK

**D. Date of Organization:** 04-25-1979

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 13

**B. Municipal Advisory Activities - Employees:** 2

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 2

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 1

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice On Selection, Brokerage Of MEI

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 24

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** Yes

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** Yes

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                                   | Title/Status             | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| JAMES BAKER GROUP INC                  | GENERAL PARTNER          | 02-01-1980      | C - 25% but less than 50% | Yes               | 73-1402976   |  |
| THE BAKER GROUP SOFTWARE SOLUTIONS INC | CLASS A LIMITED PARTNER  | 03-01-1980      | A - 5% but less than 10%  | No                | 73-1157063   |  |
| MICHAEL WAYNE MACKEY                   | MANAGING DIRECTOR        | 12-01-2002      | A - 5% but less than 10%  | Yes               |  | 2431941      |
| PHILIP CLARK STENSETH                  | MANAGING DIRECTOR        | 01-01-2002      | A - 5% but less than 10%  | Yes               |  | 1845025      |
| RICHARD LEE HANSING                    | MANAGING DIRECTOR        | 06-01-2004      | NA - less than 5%         | Yes               |  | 1801767      |
| TORRANCE PAUL MCELWEE                  | MANAGING DIRECTOR        | 01-01-2010      | A - 5% but less than 10%  | Yes               |  | 1928446      |
| RYAN WARNER HAYHURST                   | MANAGING DIRECTOR        | 01-01-2014      | NA - less than 5%         | Yes               |  | 2783567      |
| KATHRYN PHILLIPS WILSON                | CHIEF FINANCIAL OFFICER  | 01-01-2005      | NA - less than 5%         | Yes               |  | 4707853      |
| MISTY WELLS WRINKLE                    | CHIEF COMPLIANCE OFFICER | 01-01-2013      | NA - less than 5%         | Yes               |  | 2752550      |
| RONALD AUSTIN HILL                     | MANAGING DIRECTOR        | 01-01-2017      | A - 5% but less than 10%  | Yes               |  | 4652327      |
| CARL WAYNE HUXLEY                      | MANAGING DIRECTOR        | 01-01-2017      | NA - less than 5%         | Yes               |  | 5476871      |
| Frank Gerald Hart                      | Managing Director        | 01-01-2021      | NA - less than 5%         | Yes               |  | 5666950      |
| Mark Duane Baumann                     | Managing Director        | 01-01-2022      | NA - less than 5%         | Yes               |  | 5977593      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                                   | Title/Status                | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | JAMES BAKER GROUP INC                  | GENERAL PARTNER             | 02-01-1980      | C - 25% but less than 50% | Yes               | 73-1402976   |  |
|  | Direct      |  | THE BAKER GROUP SOFTWARE SOLUTIONS INC | CLASS A LIMITED PARTNER     | 03-01-1980      | A - 5% but less than 10%  | No                | 73-1157063   |  |
| Delete | Direct      |  | MICHAEL WAYNE MACKEY                   | MANAGING DIRECTOR           | 12-01-2002      | A - 5% but less than 10%  | Yes               |  | 2431941      |
|  | Direct      |  | PHILIP CLARK STENSETH                  | MANAGING DIRECTOR           | 01-01-2002      | A - 5% but less than 10%  | Yes               |  | 1845025      |
|  | Direct      |  | RICHARD LEE HANSING                    | MANAGING DIRECTOR           | 06-01-2004      | NA - less than 5%         | Yes               |  | 1801767      |
|  | Direct      |  | TORRANCE PAUL MCELWEE                  | MANAGING DIRECTOR           | 01-01-2010      | A - 5% but less than 10%  | Yes               |  | 1928446      |
|  | Direct      |  | RYAN WARNER HAYHURST                   | MANAGING DIRECTOR           | 01-01-2014      | NA - less than 5%         | Yes               |  | 2783567      |
| Amend  | Direct      |  | KATHRYN PHILLIPS WILSON                | MANAGING DIRECTOR, CFO, COO | 01-01-2005      | NA - less than 5%         | Yes               |  | 4707853      |
|  | Direct      |  | MISTY WELLS WRINKLE                    | CHIEF COMPLIANCE OFFICER    | 01-01-2013      | NA - less than 5%         | Yes               |  | 2752550      |
|  | Direct      |  | RONALD AUSTIN HILL                     | MANAGING DIRECTOR           | 01-01-2017      | A - 5% but less than 10%  | Yes               |  | 4652327      |
|  | Direct      |  | CARL WAYNE HUXLEY                      | MANAGING DIRECTOR           | 01-01-2017      | NA - less than 5%         | Yes               |  | 5476871      |
| Amend  | Direct      |  | FRANK GERALD HART                      | MANAGING DIRECTOR           | 01-01-2021      | NA - less than 5%         | Yes               |  | 5666950      |
| Amend  | Direct      |  | MARK DUANE BAUMANN                     | MANAGING DIRECTOR           | 01-01-2022      | NA - less than 5%         | Yes               |  | 5977593      |
| NewAdd | Direct      |  | JANTZ HUGHES KINZER                    | MANAGING DIRECTOR           | 01-01-2023      | NA - less than 5%         | Yes               |  | 2398922      |
| NewAdd | Direct      |  | BRIAN LEE AFFOLDER                     | MANAGING DIRECTOR           | 01-01-2023      | NA - less than 5%         | Yes               |  | 2170742      |
| NewAdd | Direct      |  | JOHN DAVID BLOSS                       | MANAGING DIRECTOR           | 01-01-2023      | NA - less than 5%         | Yes               |  | 5423261      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for THE BAKER GROUP LP

- **CRD Number:** 7888

- **Disclosure Number:** 1643601

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for THE BAKER GROUP LP

- **CRD Number:** 7888

- **Disclosure Number:** 1602578

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for THE BAKER GROUP LP

- **CRD Number:** 7888

- **Disclosure Number:** 3-16605

### Execution Page

**Signature:** Misty Wrinkle

**Signer Name:** Misty W Wrinkle

**Title:** CCO

**Date:** 01-18-2023

**CRD Number:** 7888