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Baker & Associates 

Baker & Associates

Global Wealth Management

Merrill Lynch
3455 peachtree road n.e.
Suite 200-1100
atlanta, GA  30326 

Phone(404) 231-2514


Directions to Branch

Professional Profile

Baker & Associates

In order to deliver superior service and responsiveness, Baker & Associates works with a select group of Ultra High Net Worth clients. Our clients have dynamic goals for their careers, their wealth and their lives. Our team offers personal advice and guidance, providing an experience that we believe few other financial advisors exceed.

The clients we work with have been successful in creating wealth and our goal is to help them grow and preserve that wealth. We offer foresight and fresh thinking with a proven investment strategy. Through the years, our clients have brought us their most significant and unusual wealth challenges—from buying, selling or expanding specialty businesses to managing global investment portfolios to creating customized lending strategies, and more.

With over 30 years of financial experience we deliver a highly sophisticated, boutique level of service, backed by the global investing resources of Merrill Lynch and the banking strength of Bank of America, N.A.

Rick Baker, CIMA®
Wealth Management Advisor
Portfolio Manager
Senior Vice President- Wealth Management

Rick Baker is a Wealth Management Advisor with Merrill Lynch Wealth Management and he has been delivering superior service to his clients for 32 years. He holds the Certified Investment Management Analyst® (CIMA®) designation and is responsible for managing existing relationships and business development. He is also a member of the Investment Management Consultants Association (IMCA®). Rick devises the team’s investment strategy and monitors performance to ensure alignment with client needs and expectations.

Rick graduated Cum Laude from Auburn University with a degree in Economics, and has participated in Finance and Investment Management coursework at the Wharton School of Business. He was named President of the North Florida Federal Land Bank at age 27 and is the youngest person ever to serve in that role. After 14 years as a Senior Vice President at Morgan Stanley, Rick decided to transition his practice to Merrill Lynch in 2005. During his career, Rick has been honored with numerous awards and recognitions. His current and past accolades include:

• Callanwolde Fine Arts Center Board of Directors
• Catalyst Foundation Board of Directors
• Dallas Austin Foundation Board of Trustees
• Advisor to Captain Planet Foundation
• Treasurer Rainforest Foundation
• Advisor to Rock & Roll Hall of Fame
• President – Board of Trustees for CRAYON (Cancer Research and Youth Outreach Network)
• American Red Cross Board of Directors
• American Cancer Society Board of Trustees
• National Academy of Recording Arts & Sciences (NARAS) Advisor and Honored Member
• Investment Management Consultants Association (IMCA) member

Rick and his wife, Lina Lopez, reside in Atlanta Buckhead and have four children. When not working or busy with family and charity work, he enjoys hot yoga and attends to his world class vintage guitar collection.

Thien-Hien Nguyen
Financial Advisor

Thien-Hien (Sam) Nguyen immigrated to the United States from central Vietnam with her family. She and her family fled their home country due to significant poverty caused by the Vietnam War. Her family’s journey to America included five years in a Hong Kong refugee camp. Because of intervention by the United States, Sam was eventually airlifted to Atlanta at the age of fourteen. When Sam arrived she did not speak English, but persevered working her way through high school and college while being the sole financial support for her family of eight. Armed with the ability to speak several languages, including Cantonese, and a survival instinct, she adapted to life in the United States. Through pure determination, she obtained a double major in Finance and Accounting from Georgia State University.

Sam joined Merrill Lynch in 2012 and quickly became a Junior Partner with Baker & Associates. As a Financial Advisor she is responsible for the team’s portfolio analysis. Sam is responsible for developing and monitoring investment strategies to maximize returns consistent with the portfolio’s risk parameters. She analyzes the performance of investments in client’s portfolios and makes suitable recommendations through meaningful discussions

Sam currently resides with her husband, Khoi in Lawrencville, Georgia living close to her family. She regularly attends temple and enjoys gardening as her hobby.

Miriam Falaki
Financial Advisor

Miriam Falaki is a first generation American from Morocco and has had the unique opportunity to travel the world both personally and professionally. Miriam is fluent in several languages including her homeland Arabic.

After receiving a double major degree in International Business and French from Georgia State University and working in Europe and the Middle East, Miriam joined Merrill Lynch in 2012. Her education, international business exposure and work ethic have allowed her to become a Junior Partner with the Baker & Associates. As a Financial Advisor on the team, she manages the team’s business development initiatives. Miriam monitors and analyzes financial issues related to the business and develops strategic alliances between internal and external associates. By monitoring strategic business growth she ensures that clients receive proactive outreach and reviews.

Miriam is community minded as she is an active volunteer with Culture Connect, a non-profit organization that focuses on cultural assimilation and inclusion. During her spare time she enjoys traveling abroad and learning new foreign languages. She resides in Roswell, Georgia staying very close to her relatives, their cultural traditions and strong family values.

Brian Bailey
Additional Resource – Wealth Management Banking

You may also benefit from the experience of a Wealth Management Banker from Bank of America, N.A. who can provide strategic and personalized banking guidance focused on your needs. Working together, your Financial Advisor team and Wealth Management Banker can draw upon an expansive array of cash management, credit and other lending solutions designed to fit into your overall financial strategy and help you pursue your financial objectives. Brian Bailey, Vice President, Wealth Management Banker, supports your Financial Advisor team. Brian has been in the financial services industry since 2003 and joined Bank of America in 2011.

*Investment Management Consultants Association (IMCA®) is the owner of the certification marks CIMA® and Certified Investment Management Analyst®. Use of CIMA® and Certified Investment Management Analyst® signifies that the user has successfully completed IMCA’s initial and ongoing credentialing requirements for investment management consultants

To learn more about how Merrill Lynch is helping to meet the financial needs of families of children with disabilities, visit the section of

Client Commitment

Rick Baker is registered to do business in:AL, CA, FL, GA, IL, MA, MO, NC, NV, NY, PA, TN, VA

Thien-Hien Nguyen is registered to do business in:AL, CA, FL, GA, IL, LA, MA, MO, MS, NC, NJ, NM, NV, NY, OH, PA, SC, TN, TX, VA

Miriam Falaki is registered to do business in:AL, CA, FL, GA, IL, LA, MA, MO, MS, NC, NJ, NM, NV, NY, OH, PA, SC, TN, TX, VA

For questions regarding registration information please contact your Financial Advisor.
26490234 (JCA*******803)