Baron Financial Group, LLC — 13F Holdings & Portfolio
CIK 1832093 · latest 13F-HR filed 2026-10-09
Baron Financial Group, LLC manages $205.3M in 13F-reported U.S. long-equity assets across 57 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are SPY (12.38%), IWM (9.54%), QQQ (7.80%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 3 new positions and exited 2; 6 existing positions rose in reported value and 17 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$205.3M
Long-equity book
Holdings
57
Distinct positions
Period
2026-09-30
Filed 2026-10-09
Q/Q Activity
+3 / −2 / ↑6 / ↓17
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26SPY12.4% · +0%IWM9.5% · -2%QQQ7.8% · -0%VTIP6.7% · +3%IWR4.4% · +6%EFA3.8% · -0%CWB3.5% · -1%EEM3.0% · -0%GLD2.9% · -1%BNDX2.8% · +4%VNQ2.8% · -0%ICVT2.7% · -1%CGW2.5% · -0%DIVO2.4% · +1%IQLT2.4% · -1%SUB2.1% · -0%VHT2.0% · -6%IJR1.9% · -2%BWX1.8% · +8%IWF1.8% · -0%QAI1.7% · +0%VB1.6% · -2%SPDW1.5% · +0%IEMG1.5% · -0%ESGD1.4% · -8%IWD1.3% · -2%MDY1.2% · +0%VTI1.0% · -2%SPGP1.0% · -3%AAPL0.9% · -4%ESGE0.9% · -8%IJH0.9% · +5%XOM0.5% · -1%C0.5% · 0%VOO0.5% · +5%XLU0.5% · +9%SRVR0.4% · +10%MSFT0.4% · +0%VGT0.3% · 0%IBM0.3% · +0%ARCC0.2% · 0%BSV0.2% · -0%MTUM0.2% · -7%ABBV0.2% · 0%GRID0.2% · +13%VIG0.2% · 0%IEFA0.2% · -1%CL0.1% · 0%JPM0.1% · 0%ICLN0.1% · +17%MUB0.1% · -1%BATT0.1% · +18%VUG0.1% · 0%ADP0.1% · newDSI0.1% · 0%IVW0.1% · +0%XLV0.1% · new
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 56.8%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated May 29, 2026.
Assets Under Management
$10.79B
Discretionary
$10.79B
Employees
221
Accounts
125
Address
767 FIFTH AVENUE
48TH FLOOR
NEW YORK, NY 10153-0023
48TH FLOOR
NEW YORK, NY 10153-0023
Phone
(212) 583-2000
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BARON CAPITAL GROUP, INC. Control | SHAREHOLDER since Nov 1984 | 75% or more | Domestic Entity |
| BARON, DAVID, ROBERT Control | CO-PRESIDENT since Jul 2017 | Less than 5% | Individual |
| BARON, MICHAEL, R. Control | CO-PRESIDENT since Feb 2020 | Less than 5% | Individual |
| BARON, RONALD, STEPHEN Control | FOUNDER & CEO since Jun 1982 | 10–25% | Individual |
| BEASLEY, LOUIS, BARRETT Control | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER since Sep 2014 | Less than 5% | Individual |
| BRONSTEIN, RICHARD Control | DIRECTOR since Jul 2017 | Less than 5% | Individual |
| GREENBERG, CLIFFORD Control | SENIOR MANAGING DIRECTOR, & CO-CIO since Feb 2020 | Less than 5% | Individual |
| LIANG, JANE Control | SENIOR MANAGING DIRECTOR, CHIEF FINANACIAL OFFICER OF CORPORATE since Jul 2007 | Less than 5% | Individual |
| NAGLER, ANITA, MARIE Control | DIRECTOR since Feb 2008 | Less than 5% | Individual |
| PATALINO, PATRICK, MICHAEL Control | SENIOR MANAGING DIRECTOR, CHIEF OPERATING OFFICER since Aug 2025 | Less than 5% | Individual |
| PECK, ANDREW, JOSHUA Control | SENIOR MANAGING DIRECTOR, & CO-CIO since Feb 2020 | Less than 5% | Individual |
| ROBBINS, SUSAN, JAN Control | SENIOR MANAGING DIRECTOR since May 1982 | Less than 5% | Individual |
| TREGLIA, KRISTINE, F Control | MANAGING DIRECTOR, CHIEF LEGAL OFFICER since Aug 2025 | Less than 5% | Individual |
| BARON, DAVID, ROBERT Control Indirect owner via BARON CAPITAL GROUP, INC. | SHAREHOLDER since Jul 2005 | 25–50% | Individual |
| BARON, MICHAEL, R. Control Indirect owner via BARON CAPITAL GROUP, INC. | SHAREHOLDER since Sep 2004 | 25–50% | Individual |
Ownership & leadership changes · 14 filings with changes since May 31, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
May 27, 2026 filing
- AddedLIANG, JANE · SENIOR MANAGING DIRECTOR, CHIEF FINANACIAL OFFICER OF CORPORATE · Less than 5% · control person
- ChangedBARON, DAVID, ROBERT · title DIRECTOR & CO-PRESIDENT → CO-PRESIDENT
- ChangedBARON, MICHAEL, R. · title DIRECTOR & CO-PRESIDENT → CO-PRESIDENT
- ChangedBARON, RONALD, STEPHEN · title DIRECTOR, CHAIRMAN & CEO → FOUNDER & CEO
- ChangedBEASLEY, LOUIS, BARRETT · title CHIEF COMPLIANCE OFFICER → MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER
- ChangedGREENBERG, CLIFFORD · title DIRECTOR, SENIOR VICE PRESIDENT & CO-CIO → SENIOR MANAGING DIRECTOR, & CO-CIO
- ChangedPATALINO, PATRICK, MICHAEL · title SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER → SENIOR MANAGING DIRECTOR, CHIEF OPERATING OFFICER
- ChangedPECK, ANDREW, JOSHUA · title DIRECTOR, SENIOR VICE PRESIDENT & CO-CIO → SENIOR MANAGING DIRECTOR, & CO-CIO
- ChangedROBBINS, SUSAN, JAN · title DIRECTOR & VICE PRESIDENT → SENIOR MANAGING DIRECTOR
- ChangedTREGLIA, KRISTINE, F · title VICE PRESIDENT, CHIEF LEGAL OFFICER → MANAGING DIRECTOR, CHIEF LEGAL OFFICER
Oct 30, 2025 filing
- ChangedTREGLIA, KRISTINE, F · title VP, CHIEF LEGAL OFFICER → VICE PRESIDENT, CHIEF LEGAL OFFICER
Oct 1, 2025 filing
- No longer listedSTERN, RACHEL, REBECCA · DIRECTOR, SR. VICE PRESIDENT & CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Apr 2018
- Listed againTREGLIA, KRISTINE, F · VP, CHIEF LEGAL OFFICER · Less than 5% · control person
- ChangedPATALINO, PATRICK, MICHAEL · title SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY → SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER
May 21, 2025 filing
- No longer listedMARTINSON, LINDA, S · DIRECTOR · Less than 5% · control person · listed since May 1983
- No longer listedWONG, PEGGY, C · DIRECTOR · Less than 5% · control person · listed since Jun 1987
- AddedBARON, DAVID, ROBERT · SHAREHOLDER · 25–50% · indirect via BARON CAPITAL GROUP, INC. · control person
- AddedBARON, MICHAEL, R. · SHAREHOLDER · 25–50% · indirect via BARON CAPITAL GROUP, INC. · control person
- ChangedBARON, DAVID, ROBERT · title DIRECTOR & VICE PRESIDENT → DIRECTOR & CO-PRESIDENT
- ChangedBARON, MICHAEL, R. · title DIRECTOR & VICE PRESIDENT → DIRECTOR & CO-PRESIDENT
- ChangedBARON, RONALD, STEPHEN · title CHAIRMAN & CEO → DIRECTOR, CHAIRMAN & CEO; ownership Less than 5% → 10–25%
- ChangedPATALINO, PATRICK, MICHAEL · title VICE PRESIDENT, GENERAL COUNSEL & SECRETARY → SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY
Sep 25, 2024 filing
- ChangedMARTINSON, LINDA, S · title DIRECTOR, PRESIDENT & CHIEF OPERATING OFFICER → DIRECTOR
- ChangedSTERN, RACHEL, REBECCA · title DIRECTOR → DIRECTOR, SR. VICE PRESIDENT & CHIEF OPERATING OFFICER
- ChangedWONG, PEGGY, C · title VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER → DIRECTOR
May 26, 2021 filing
- No longer listedBARON, RONALD, STEPHEN · CHAIRMAN/CEO/DIRECTOR/SHAREHOLDER · 75% or more · indirect via BARON CAPITAL GROUP, INC. · control person · listed since Oct 1984
May 18, 2020 filing
- AddedBRONSTEIN, RICHARD · DIRECTOR · Less than 5% · control person
- AddedSTERN, RACHEL, REBECCA · DIRECTOR · Less than 5% · control person
- ChangedBARON, DAVID, ROBERT · title RESEARCH ANALYST → DIRECTOR & VICE PRESIDENT
- ChangedBARON, MICHAEL, R. · title RESEARCH ANALYST → DIRECTOR & VICE PRESIDENT
- ChangedBARON, RONALD, STEPHEN · title CHAIRMAN, CEO & CIO → CHAIRMAN & CEO
- ChangedGREENBERG, CLIFFORD · title DIRECTOR & SENIOR VICE PRESIDENT → DIRECTOR, SENIOR VICE PRESIDENT & CO-CIO
- ChangedPECK, ANDREW, JOSHUA · title SENIOR VICE PRESIDENT → DIRECTOR, SENIOR VICE PRESIDENT & CO-CIO
May 28, 2019 filing
- ChangedBARON, DAVID, ROBERT · now a control person
- ChangedBARON, MICHAEL, R. · now a control person
- ChangedPECK, ANDREW, JOSHUA · now a control person
May 22, 2017 filing
- No longer listedCOHN, LAWRENCE, J · VICE PRESIDENT & CHIEF INFORMATION OFFICER · Less than 5% · listed since Mar 2008
Nov 14, 2014 filing
- No longer listedDODDS, CHRISTOPHER, VINCENT · DIRECTOR · Less than 5% · control person · listed since Jul 2007
Older changes (5 more filings)
Oct 15, 2014 filing
- No longer listedTREGLIA, KRISTINE, F · VICE PRESIDENT & ACTING CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Jul 2014
- AddedBEASLEY, LOUIS, BARRETT · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Aug 13, 2014 filing
- No longer listedHEANEY, GRETTA, JANE · VICE PRESIDENT & CHIEF COMPLIANCE OFFICER · Less than 5% · listed since May 2004
- AddedTREGLIA, KRISTINE, F · VICE PRESIDENT & ACTING CHIEF COMPLIANCE OFFICER · Less than 5%
May 20, 2014 filing
- No longer listedBARON, JUDITH · SHAREHOLDER · 25–50% · control person · listed since May 1999
- No longer listedBARON, JUDITH · SHAREHOLDER · 25–50% · indirect via BARON CAPITAL GROUP, INC. · control person · listed since May 1999
Dec 12, 2013 filing
- AddedBARON, JUDITH · SHAREHOLDER · 25–50% · control person
- AddedBARON, JUDITH · SHAREHOLDER · 25–50% · indirect via BARON CAPITAL GROUP, INC. · control person
- ChangedDODDS, CHRISTOPHER, VINCENT · now a control person
- ChangedGREENBERG, CLIFFORD · now a control person
- ChangedMARTINSON, LINDA, S · now a control person
- ChangedNAGLER, ANITA, MARIE · now a control person
- ChangedPATALINO, PATRICK, MICHAEL · now a control person
- ChangedROBBINS, SUSAN, JAN · now a control person
- ChangedWONG, PEGGY, C · title CHIEF FINANCIAL OFFICER & TREASURER → VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER; now a control person
May 31, 2012 filing (earliest on record)
- ListedBARON CAPITAL GROUP, INC. · SHAREHOLDER · 75% or more · control person
- ListedBARON, DAVID, ROBERT · RESEARCH ANALYST · Less than 5%
- ListedBARON, MICHAEL, R. · RESEARCH ANALYST · Less than 5%
- ListedBARON, RONALD, STEPHEN · CHAIRMAN, CEO & CIO · Less than 5% · control person
- ListedBARON, RONALD, STEPHEN · CHAIRMAN/CEO/DIRECTOR/SHAREHOLDER · 75% or more · indirect via BARON CAPITAL GROUP, INC. · control person
- ListedCOHN, LAWRENCE, J · VICE PRESIDENT & CHIEF INFORMATION OFFICER · Less than 5%
- ListedDODDS, CHRISTOPHER, VINCENT · DIRECTOR · Less than 5%
- ListedGREENBERG, CLIFFORD · DIRECTOR & SENIOR VICE PRESIDENT · Less than 5%
- ListedHEANEY, GRETTA, JANE · VICE PRESIDENT & CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedMARTINSON, LINDA, S · DIRECTOR, PRESIDENT & CHIEF OPERATING OFFICER · Less than 5%
- ListedNAGLER, ANITA, MARIE · DIRECTOR · Less than 5%
- ListedPATALINO, PATRICK, MICHAEL · VICE PRESIDENT, GENERAL COUNSEL & SECRETARY · Less than 5%
- ListedPECK, ANDREW, JOSHUA · SENIOR VICE PRESIDENT · Less than 5%
- ListedROBBINS, SUSAN, JAN · DIRECTOR & VICE PRESIDENT · Less than 5%
- ListedWONG, PEGGY, C · CHIEF FINANCIAL OFFICER & TREASURER · Less than 5%
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- MICROSOFT CORP$223.3K +37.6%
- SPDR SERIES TRUST$190.0K +5.3%
- APPLE INC$178.4K +10.3%
- VANGUARD INDEX FDS$65.1K +7.1%
- VANGUARD WORLD FD$30.9K +5.1%
Top Trims
- ISHARES TR-$2.0M -9.3%
- SPDR SERIES TRUST-$523.3K -6.8%
- ISHARES TR-$476.5K -7.9%
- ISHARES TR-$466.3K -10.5%
- VANGUARD INDEX FDS-$442.5K -7.2%
New Positions
- EXXONMOBIL HOLDINGS CORP$1.1M
- AUTOMATIC DATA PROCESSING IN$216.8K
- SELECT SECTOR SPDR TR$211.4K
Baron Financial Group, LLC Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $25.4M | 12.38% | 33,328 | SH |
| 2 | ISHARES TR | IWM | 464287655 | $19.6M | 9.54% | 70,503 | SH |
| 3 | INVESCO QQQ TR | QQQ | 46090E103 | $16.0M | 7.80% | 21,665 | SH |
| 4 | VANGUARD MALVERN FDS | VTIP | 922020805 | $13.8M | 6.73% | 280,745 | SH |
| 5 | ISHARES TR | IWR | 464287499 | $9.0M | 4.38% | 84,361 | SH |
| 6 | ISHARES TR | EFA | 464287465 | $7.7M | 3.75% | 74,156 | SH |
| 7 | SPDR SERIES TRUST | CWB | 78464A359 | $7.2M | 3.50% | 71,101 | SH |
| 8 | ISHARES TR | EEM | 464287234 | $6.2M | 3.04% | 93,542 | SH |
| 9 | SPDR GOLD TR | GLD | 78463V107 | $6.0M | 2.93% | 15,824 | SH |
| 10 | VANGUARD CHARLOTTE FDS | BNDX | 92203J407 | $5.7M | 2.78% | 121,620 | SH |
| 11 | VANGUARD INDEX FDS | VNQ | 922908553 | $5.7M | 2.76% | 63,212 | SH |
| 12 | ISHARES TR | ICVT | 46435G102 | $5.5M | 2.70% | 49,089 | SH |
| 13 | INVESCO EXCH TRADED FD TR II | CGW | 46138E263 | $5.1M | 2.51% | 82,603 | SH |
| 14 | AMPLIFY ETF TR | DIVO | 032108409 | $5.0M | 2.45% | 108,040 | SH |
| 15 | ISHARES TR | IQLT | 46434V456 | $4.9M | 2.39% | 99,135 | SH |
| 16 | ISHARES TR | SUB | 464288158 | $4.3M | 2.07% | 40,725 | SH |
| 17 | VANGUARD WORLD FD | VHT | 92204A504 | $4.1M | 2.00% | 13,010 | SH |
| 18 | ISHARES TR | IJR | 464287804 | $4.0M | 1.93% | 29,120 | SH |
| 19 | SPDR SERIES TRUST | BWX | 78464A516 | $3.8M | 1.83% | 177,376 | SH |
| 20 | ISHARES TR | IWF | 464287614 | $3.6M | 1.77% | 28,952 | SH |
| 21 | NYLIM ETF TR | QAI | 45409B107 | $3.6M | 1.74% | 99,257 | SH |
| 22 | VANGUARD INDEX FDS | VB | 922908751 | $3.2M | 1.58% | 11,384 | SH |
| 23 | SPDR INDEX SHS FDS | SPDW | 78463X889 | $3.1M | 1.49% | 60,992 | SH |
| 24 | ISHARES INC | IEMG | 46434G103 | $3.1M | 1.49% | 37,601 | SH |
| 25 | ISHARES TR | ESGD | 46435G516 | $2.8M | 1.39% | 27,600 | SH |
| 26 | ISHARES TR | IWD | 464287598 | $2.7M | 1.30% | 10,806 | SH |
| 27 | STATE STR SPDR S&P MIDCAP 40 | MDY | 78467Y107 | $2.6M | 1.24% | 3,885 | SH |
| 28 | VANGUARD INDEX FDS | VTI | 922908769 | $2.1M | 1.04% | 5,711 | SH |
| 29 | INVESCO EXCHANGE TRADED FD T | SPGP | 46137V431 | $2.0M | 1.00% | 17,213 | SH |
| 30 | APPLE INC | AAPL | 037833100 | $1.9M | 0.93% | 5,737 | SH |
| 31 | ISHARES INC | ESGE | 46434G863 | $1.8M | 0.89% | 33,631 | SH |
| 32 | ISHARES TR | IJH | 464287507 | $1.8M | 0.86% | 24,422 | SH |
| 33 | EXXONMOBIL HOLDINGS CORP | XOM | 30233Q108 | $1.1M | 0.53% | 6,645 | SH |
| 34 | CITIGROUP INC | C | 172967424 | $1.0M | 0.49% | 7,809 | SH |
| 35 | VANGUARD INDEX FDS | VOO | 922908363 | $977.9K | 0.48% | 1,395 | SH |
| 36 | SELECT SECTOR SPDR TR | XLU | 81369Y886 | $951.6K | 0.46% | 24,127 | SH |
| 37 | PACER FDS TR | SRVR | 69374H741 | $830.0K | 0.40% | 29,298 | SH |
| 38 | MICROSOFT CORP | MSFT | 594918104 | $818.0K | 0.40% | 1,595 | SH |
| 39 | VANGUARD WORLD FD | VGT | 92204A702 | $631.4K | 0.31% | 5,024 | SH |
| 40 | INTERNATIONAL BUSINESS MACHS | IBM | 459200101 | $586.0K | 0.29% | 2,665 | SH |
| 41 | ARES CAPITAL CORP | ARCC | 04010L103 | $496.2K | 0.24% | 25,977 | SH |
| 42 | VANGUARD BD INDEX FDS | BSV | 921937827 | $452.3K | 0.22% | 5,920 | SH |
| 43 | ISHARES TR | MTUM | 46432F396 | $433.2K | 0.21% | 1,365 | SH |
| 44 | ABBVIE INC | ABBV | 00287Y109 | $342.4K | 0.17% | 1,309 | SH |
| 45 | FIRST TR EXCHANGE-TRADED FD | GRID | 33737A108 | $341.6K | 0.17% | 1,929 | SH |
| 46 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $318.9K | 0.16% | 1,367 | SH |
| 47 | ISHARES TR | IEFA | 46432F842 | $309.1K | 0.15% | 3,191 | SH |
| 48 | COLGATE PALMOLIVE CO | CL | 194162103 | $291.4K | 0.14% | 3,415 | SH |
| 49 | JPMORGAN CHASE & CO | JPM | 46625H100 | $269.6K | 0.13% | 815 | SH |
| 50 | ISHARES TR | ICLN | 464288224 | $246.1K | 0.12% | 14,475 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-09 | $205.3M | 57 | 0002085853-26-001129 |
| 2026-06-30 | 2026-07-09 | $209.6M | 56 | 0002085853-26-000675 |
| 2026-03-31 | 2026-04-09 | $185.4M | 53 | 0002085853-26-000326 |
| 2025-12-31 | 2026-01-09 | $186.5M | 57 | 0002085853-26-000019 |
Filer Information
Address
16-00 STATE ROUTE 208 SOUTHSUITE 104
FAIR LAWN, NJ 07410
Phone
(201) 791-6408
Filing Manager
Baron Financial Group, LLC
Fair Lawn, NJ
Signatory
Gregory Cannillo
Chief Compliance Officer