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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC

CRD 169727

BETHESDA, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5c743bbc-17be-e2b9-79fb-e472cf59ff22

Data as of Jul 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 17
On other graphs: 1
Observed: Nov 15, 2013 to Jul 15, 2024
40 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

The Capital Group Investment Advisory Services, LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.2BItem 5.F on the latest filing (2024-07-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $189MderivedItem 5.D individuals plus high net worth individuals
Private client share: 16%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 17
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 781
Individual clients: 213
High net worth clients: 59
SEC number: 801-78844
CRD: 169727
Filings on the tape: 40
First filed: Nov 15, 2013
Latest filed: Jul 15, 2024
Organised: Limited Liability Company, Florida

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BALDWIN, TREVOR, LOWRY	CEO/PRESIDENT	Na	yes	08/2021	Aug 2, 2021	Jul 15, 2024
ESTRADA, LISA, KIM	CHIEF COMPLIANCE OFFICER	Na	yes	08/2021	Aug 2, 2021	Jul 15, 2024
HALE, BRADFORD, LENZIE	CHIEF FINANCIAL OFFICER	Na	yes	08/2021	Sep 24, 2021	Jul 15, 2024
STAUB, CHRISTOPHER, MICHAEL	VICE PRESIDENT/MANAGING PARTNER	Na	yes	08/2021	Dec 6, 2013	Jul 15, 2024
THE BALDWIN GROUP FINANCIAL SERVICES HOLDINGS, LLC	Owner	E	yes	08/2021	May 10, 2024	Jul 15, 2024
THE BALDWIN GROUP INSURANCE ADVISORY SOLUTIONS HOLDINGS, LLC	INDIRECT OWNER	E	yes	08/2021	May 10, 2024	Jul 15, 2024
THE BALDWIN GROUP SOUTHEAST, LLC	INDIRECT OWNER	E	yes	08/2021	Jul 5, 2024	Jul 15, 2024
THE BALDWIN INSURANCE GROUP HOLDINGS, LLC	INDIRECT OWNER	E	yes	08/2021	May 10, 2024	Jul 15, 2024
THE BALDWIN INSURANCE GROUP, INC.	INDIRECT OWNER	C	yes	08/2021	May 10, 2024	Jul 15, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BURNHAM GIBSON WEALTH ADVISORS, LLC	n/a	Other adviser	$27B	N	yes	n/a
ARMFIELD HARRISON & THOMAS LLC	n/a	n/a	n/a	N	yes	n/a
BKS FINANCIAL INVESTMENTS, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
BURNHAM BENEFITS INSURANCE SERVICES, LLC	n/a	n/a	n/a	Y	no	n/a
INSGROUP, LLC	n/a	n/a	n/a	N	yes	n/a
THE BALDWIN GROUP SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
THE BALDWIN GROUP, SOUTHEAST, LLC	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 14, 2024	$1.2B	$1.2B	18	17	0	n/a	n/a
2022	Mar 30, 2023	$808M	$808M	16	16	0	n/a	n/a
2021	Mar 26, 2022	$757M	$757M	11	10	1	n/a	n/a
2020	Apr 2, 2021	$683M	$683M	12	6	1	n/a	n/a
2019	Apr 2, 2020	$471M	$471M	12	6	1	n/a	n/a
2018	Mar 29, 2019	$344M	$344M	12	6	1	n/a	n/a
2017	Mar 28, 2018	$270M	$270M	9	6	1	n/a	n/a
2016	Mar 28, 2017	$215M	$215M	7	5	n/a	n/a	n/a
2015	Mar 30, 2016	$151M	$0	6	5	n/a	n/a	n/a
2014	Mar 27, 2015	$129M	$129M	5	3	n/a	n/a	n/a
2013	Apr 1, 2014	$100M	$100M	5	2	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.2B	$808M	46.4%	$683M	20.1%	18	16	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
THE BALDWIN GROUP WEALTH ADVISORS, LLC	10	Oct 4, 2024	Dec 6, 2024	BETHESDA, MD	Firm absorbed	Other	90.9%

Relationships

Affiliated with (3)

← BKS RETIREMENT SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ BKS RETIREMENT SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ THE BALDWIN GROUP WEALTH ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← STAUB, CHRISTOPHER, MICHAELOwnerVICE PRESIDENT/MANAGING PARTNER, ownership code NA, individual
Dec 6, 2013 to presentfactForm ADV
← ESTRADA, LISA, KIMOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 2, 2021 to presentfactForm ADV
← BALDWIN, TREVOR, LOWRYOwnerCEO/PRESIDENT, ownership code NA, individual
Aug 2, 2021 to presentfactForm ADV
← HALE, BRADFORD, LENZIEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 24, 2021 to presentfactForm ADV
← THE BALDWIN GROUP FINANCIAL SERVICES HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
May 10, 2024 to presentfactForm ADV
← THE BALDWIN GROUP INSURANCE ADVISORY SOLUTIONS HOLDINGS, LLCOwnerINDIRECT OWNER, ownership code E, domestic entity
May 10, 2024 to presentfactForm ADV
← THE BALDWIN GROUP SOUTHEAST, LLCOwnerINDIRECT OWNER, ownership code E, domestic entity
Jul 5, 2024 to presentfactForm ADV
← THE BALDWIN INSURANCE GROUP HOLDINGS, LLCOwnerINDIRECT OWNER, ownership code E, domestic entity
May 10, 2024 to presentfactForm ADV

Moved with (1)

→ THE BALDWIN GROUP WEALTH ADVISORS, LLCRegistered adviser9 advisors, firm absorbed
Oct 4, 2024 to Oct 25, 2024factForm ADV

Registered with (12)

← Gregg FineAdvisorregistration: previous registration
Apr 3, 2024 to Oct 5, 2024factForm ADV
← Paul J CookAdvisorregistration: previous registration
Aug 5, 2022 to Oct 5, 2024factForm ADV
← Robert Hamilton HannanAdvisorregistration: previous registration
Feb 26, 2016 to Oct 5, 2024factForm ADV
← Eric Robert FriedmanAdvisorregistration: previous registration
Jan 19, 2022 to Oct 5, 2024factForm ADV
← Joseph Thomas AlvarezAdvisorregistration: previous registration
Mar 15, 2023 to Oct 5, 2024factForm ADV
← Lewis Stewart EvansAdvisorregistration: previous registration
Feb 10, 2022 to Oct 5, 2024factForm ADV
← Christopher StaubAdvisorregistration: previous registration
Dec 6, 2013 to Oct 4, 2024factForm ADV
← TYLER AUGUSTUS STEWARTAdvisorregistration: previous registration
Feb 12, 2022 to Oct 4, 2024factForm ADV
← Alexander Max KuczeraAdvisorregistration: previous registration
Mar 19, 2024 to Oct 4, 2024factForm ADV
← RYAN ZACKAdvisorregistration: previous registration
Aug 21, 2024 to Oct 4, 2024factForm ADV
← JOSEPH JAMES HARKNESSAdvisorregistration: previous registration
Jun 27, 2023 to Oct 4, 2024factForm ADV
← TIMOTHY JOHN SOMMERAdvisorregistration: previous registration
Apr 13, 2022 to May 1, 2024factForm ADV

Dated events

Occurred
Oct 4, 2024
Firm absorbed
The Capital Group Investment Advisory Services, LLC's advisors moved to The Baldwin Group Wealth Advisors, LLC (Bethesda, MD): 9 of 11 registered, a day apart
Form ADVobserved 5 days ago
9 advisors
Occurred
May 1, 2024
Advisor changed firm
Timothy John Sommer left The Capital Group Investment Advisory Services, Llc for Legacy Edge Advisors (registered 2025-01-18)
Form ADVobserved 5 days ago
Occurred
Mar 14, 2024
Regulatory AUM changed
The Capital Group Investment Advisory Services, Llc reported RAUM $1.2B, up 46% from $807.7M (2023-10-06 to 2024-03-14)
Form ADVobserved 5 days ago
$375M
Occurred
Sep 24, 2021
Control person left
Lowry Loper Baldwin (Chairman) no longer on Schedule A of The Capital Group Investment Advisory Services, Llc (listed 2021-08-30, absent 2021-09-24)
Form ADVobserved 5 days ago
Occurred
Sep 24, 2021
Control person left
Daniel Galbraith (Chief Operating Officer) no longer on Schedule A of The Capital Group Investment Advisory Services, Llc (listed 2021-08-30, absent 2021-09-24)
Form ADVobserved 5 days ago
Occurred
Sep 24, 2021
Control person left
Christopher Stephens (Chief Legal Officer) no longer on Schedule A of The Capital Group Investment Advisory Services, Llc (listed 2021-08-30, absent 2021-09-24)
Form ADVobserved 5 days ago
Occurred
Sep 24, 2021
Control person joined
Bradford Hale (Chief Financial Officer) appeared on Schedule A of The Capital Group Investment Advisory Services, Llc
Form ADVobserved 5 days ago
Occurred
Aug 2, 2021
Control person joined
Kim Lisa Estrada (Chief Compliance Officer) appeared on Schedule A of The Capital Group Investment Advisory Services, Llc
Form ADVobserved 5 days ago
Occurred
Aug 2, 2021
Control person joined
Lowry Loper Baldwin (Chairman) appeared on Schedule A of The Capital Group Investment Advisory Services, Llc
Form ADVobserved 5 days ago
Occurred
Aug 2, 2021
Control person joined
Trevor Baldwin (Ceo/President) appeared on Schedule A of The Capital Group Investment Advisory Services, Llc
Form ADVobserved 5 days ago
Occurred
Aug 2, 2021
Control person joined
Daniel Galbraith (Chief Operating Officer) appeared on Schedule A of The Capital Group Investment Advisory Services, Llc
Form ADVobserved 5 days ago
Occurred
Aug 2, 2021
Control person joined
Christopher Stephens (Chief Legal Officer) appeared on Schedule A of The Capital Group Investment Advisory Services, Llc
Form ADVobserved 5 days ago
Occurred
Aug 2, 2021
Control person left
Francis Kevin Fitzpatrick (Member) no longer on Schedule A of The Capital Group Investment Advisory Services, Llc (listed 2021-04-02, absent 2021-08-02)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2021
Control person left
Anthony Joseph Apa (Member) no longer on Schedule A of The Capital Group Investment Advisory Services, Llc (listed 2021-04-02, absent 2021-08-02)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
The Capital Group Investment Advisory Services, Llc reported RAUM $682.6M, up 45% from $470.7M (2020-06-09 to 2021-03-31)
Form ADVobserved 5 days ago
$212M
Occurred
Apr 2, 2020
Regulatory AUM changed
The Capital Group Investment Advisory Services, Llc reported RAUM $470.7M, up 37% from $344.4M (2019-03-29 to 2020-04-02)
Form ADVobserved 5 days ago
$126M
Occurred
Nov 15, 2013
First Form ADV filing
Bellechase Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c743bbc-17be-e2b9-79fb-e472cf59ff22
First observed: Nov 15, 2013
Last observed: Jul 15, 2024 26 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC

CRD 169727

BETHESDA, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5c743bbc-17be-e2b9-79fb-e472cf59ff22

Data as of Jul 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALDWIN, TREVOR, LOWRY

CEO/PRESIDENT

yes

08/2021

Aug 2, 2021

Jul 15, 2024

ESTRADA, LISA, KIM

CHIEF COMPLIANCE OFFICER

yes

08/2021

Aug 2, 2021

Jul 15, 2024

HALE, BRADFORD, LENZIE

CHIEF FINANCIAL OFFICER

yes

08/2021

Sep 24, 2021

Jul 15, 2024

STAUB, CHRISTOPHER, MICHAEL

VICE PRESIDENT/MANAGING PARTNER

yes

08/2021

Dec 6, 2013

Jul 15, 2024

THE BALDWIN GROUP FINANCIAL SERVICES HOLDINGS, LLC

Owner

yes

08/2021

May 10, 2024

Jul 15, 2024

THE BALDWIN GROUP INSURANCE ADVISORY SOLUTIONS HOLDINGS, LLC

INDIRECT OWNER

yes

08/2021

May 10, 2024

Jul 15, 2024

THE BALDWIN GROUP SOUTHEAST, LLC

INDIRECT OWNER

yes

08/2021

Jul 5, 2024

Jul 15, 2024

THE BALDWIN INSURANCE GROUP HOLDINGS, LLC

INDIRECT OWNER

yes

08/2021

May 10, 2024

Jul 15, 2024

THE BALDWIN INSURANCE GROUP, INC.

INDIRECT OWNER

yes

08/2021

May 10, 2024

Jul 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BURNHAM GIBSON WEALTH ADVISORS, LLC

n/a

Other adviser

$27B

yes

n/a

ARMFIELD HARRISON & THOMAS LLC

n/a

yes

n/a

BKS FINANCIAL INVESTMENTS, LLC

n/a

Former SEC adviser

n/a

yes

n/a

BURNHAM BENEFITS INSURANCE SERVICES, LLC

n/a

INSGROUP, LLC

n/a

yes

n/a

THE BALDWIN GROUP SECURITIES, LLC

n/a

yes

n/a

THE BALDWIN GROUP, SOUTHEAST, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 14, 2024

$1.2B

n/a

2022

Mar 30, 2023

$808M

n/a

2021

Mar 26, 2022

$757M

n/a

2020

Apr 2, 2021

$683M

n/a

2019

Apr 2, 2020

$471M

n/a

2018

Mar 29, 2019

$344M

n/a

2017

Mar 28, 2018

$270M

n/a

2016

Mar 28, 2017

$215M

n/a

2015

Mar 30, 2016

$151M

n/a

2014

Mar 27, 2015

$129M

n/a

2013

Apr 1, 2014

$100M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$1.2B

$808M

46.4%

$683M

20.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

THE BALDWIN GROUP WEALTH ADVISORS, LLC

Oct 4, 2024

Dec 6, 2024

BETHESDA, MD

Firm absorbed

Other

90.9%