Our Team & Partners

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I keep seeing a platform described as a list of names when the real question is who performs which role and under whose supervision. Clear responsibilities matter, particularly when an investor is relying on advice, due diligence, transaction processing, and compliance oversight at the same time.

First-order thinking sees a collection of firms. Second-order thinking separates independent advice, broker-dealer supervision and execution, and advisory capability so that the investor can understand the structure behind the service.

How the platform fits together

Baker 1031 Investments is an independent advisory firm. We pair that independence with the infrastructure of an established broker-dealer and its affiliated registered investment adviser — so clients get objective guidance and the execution, speed, and due-diligence rigor of an institutional platform.

01 — Independent Advice

Baker 1031 builds the strategy and the portfolio, working for the investor rather than any single sponsor.

02 — Broker-Dealer Supervision & Execution

Securities are offered through Aurora Securities — providing compliance oversight, principal review, and transaction processing.

03 — Advisory & RIA Capability

Aurora's affiliated registered investment adviser, Secure Asset Management, extends the platform's advisory and operational depth.

The institutions behind the desk

Aurora Securities, Inc.

Broker-Dealer · Member FINRA / SIPC

An independent broker-dealer registered with FINRA, the SEC, and the MSRB. Baker 1031's securities business is conducted through Aurora, which provides broker-dealer due-diligence review, registered-principal approval, and trade processing. Headquartered in Troy, Michigan; clears through National Financial Services LLC. Baker 1031 Investments is independent of Aurora Securities.

Secure Asset Management, LLC

Registered Investment Adviser

A registered investment adviser affiliated with, and under common control with, Aurora Securities. The RIA broadens the platform's advisory capabilities and operational support, complementing the broker-dealer's transaction and supervisory functions.

Baker 1031 Investments

Gerald F. “Jerry” Baker, III

Founder & Managing Principal

Former Wall Street real estate professional with $10B+ in transactions; architect of every Baker 1031 replacement portfolio and author of the firm's Investing Memos. Full bio ➞

Broker-Dealer & RIA Partners

Bryan Spencer

Founder, Secure Financial Group

Built the multi-company platform whose affiliated firms include Aurora Securities and Secure Asset Management.

Lori Kamen

President & CCO, Aurora Securities

President and Chief Compliance Officer of Aurora Securities; a compliance leader since 1997. Series 4, 7, 24, 53, 63, 66.

Randall Joseph

CCO, Secure Asset Management

Chief Compliance Officer of Secure Asset Management, with 20+ years in the industry. B.A. Finance, Michigan State; Series 7, 63, 65.

Brian Dudley

SVP, Business Development

Senior VP of Business Development; a 24-year industry veteran and former TD Ameritrade regional VP of Sales. Series 7 and 66.

Bradley Davis

Portfolio Manager, Secure Asset Management

Portfolio manager for the RIA; managed equity and fixed-income portfolios for retail, high-net-worth, and institutional clients since 1999.

Bryan Spencer, Lori Kamen, Randall Joseph, Brian Dudley, and Bradley Davis are personnel of the independent broker-dealer (Aurora Securities, Inc.) and registered investment adviser (Secure Asset Management, LLC), not employees of Baker 1031 Investments. Roles and licenses are drawn from the partner firms' published materials and should be verified with those firms and on FINRA BrokerCheck.

Disclosures

Gerald F. Baker, III offers securities as a registered representative of Aurora Securities. Descriptions of Aurora Securities and Secure Asset Management are based on publicly available information; verify current details with those firms and on FINRA BrokerCheck. Securities offered through Aurora Securities, Inc. (ASI) — CRD #46147, SEC #8-51322 — member FINRA/SIPC. Gerald F. 'Jerry' Baker, III is a registered representative of ASI (FINRA CRD #7537416). Baker 1031 Investments, LLC is independent of ASI and is not a registered broker-dealer or investment adviser. This page is informational only and is not an offer to sell or a solicitation of an offer to buy any security, or tax or legal advice; any offer is made solely through a sponsor's private placement memorandum following a suitability determination. DST and related securities are speculative and illiquid, for accredited investors only, and involve substantial risk including possible loss of principal. Content subject to registered-principal review.

I would clarify each party’s role, oversight, and current credentials before relying on any platform. What part of that responsibility map would you want to understand first?