9AT: FINSER INVESTMENT ADVISOR

FINSER INVESTMENT ADVISOR

FINSER INVESTMENT ADVISOR

Adviser Profile

As of Date	09/14/2026
Registration	SEC, Approved, 01/26/2007
ADV Location	SAN ANTONIO, TX, United States
Contact Info	210 xxxxxxx

AUM^*	1,746,042,084 20%
of that, discretionary	0
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	174,604,208 20%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm
- Multi-state adviser

Client Types

- Banking or thrift institutions

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

2B 1B 1B 939M 704M 469M 235M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

FinSer Investment Advisors, Inc. (FIA) is a corporation formed in December 2006 under the rules of the State of Texas and is registered with the Securities and Exchange Commission as an investment adviser. FIA is 100% owned by Fred Baker & Associates, Inc., a domestic entity and not a public reporting company under Section 12 or 15 (d) of the Exchange Act. Full Legal Name Title or Status Tax I.D. or CRD # FinSer Investment Advisors, Inc. Company 142570 SEC# 801-67528 Vincent Edward Myers Chairman/President/ Chief Compliance Officer 871153 Carla Jane Baker Director N/A Matt Holmes Director N/A FinSer Investment Advisors, Inc. offers personalized investment advisory services to banks and thrift institutions. The type and amount of securities utilized are restricted by Part I of Title 12, Code of Federal Regulations (CFR). Type and amount of securities may be further constrained by Client’s Funds Management or Investment Policy.

Additionally, suggested investments and executed trades will be made: (1) to conform to and complement the Client’s Asset/Liability Committee’s (ALCO) strategic plan and (2) to enhance, not impair, the Client’s primary and secondary liquidity. All security transactions are non-discretionary and the final investment decision ALWAYS rests with the Client’s Designated Investment Officer. All transactions will be “delivery versus pay” at the Client’s designated clearing and safekeeping entity. FinSer Investment Advisors, Inc. does not participate in wrap fee programs for providing portfolio management services. All assets managed by FIA are on a non-discretionary basis. As of June 30, 2022, Client Assets Under Management (AUM) was $1,642,694,287 as measured by the par value of securities holdings reported by the Clients’ investment reporting system. The method for determining AUM is the same method FIA utilizes as the basis for calculating fees and compensation. 2