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RIA / WealthAdvisorCertified Financial Planner10 years in industry

Ari Seth Wiener

Advisor at MAI CAPITAL MANAGEMENT, LLC

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:626b7835-c78b-bddd-fdc4-618e5dad85dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 18, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Current firm: MAI CAPITAL MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jun 23, 2017
First registration: Jul 18, 2017
Dual registered: no
Other names: ARI SETH WIENER|Ari Wiener
IAPD individual key: 6163528

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MAI CAPITAL MANAGEMENT, LLC	Independent wealth	Dec 23, 2021	n/a	yes	Bethesda, MD	Current employment
INVESTMENT PLANNING ASSOCIATES INC	Former SEC adviser	Nov 9, 2020	Jan 3, 2022	no	ROCKVILLE, MD	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Aug 6, 2019	Nov 13, 2020	no	BETHESDA, MD	Previous registration
CHARLES SCHWAB INVESTMENT ADVISORY, INC	Former SEC adviser	Feb 27, 2018	Jun 5, 2019	no	Boston, MA\|SAN FRANCISCO, CA	Previous registration
THOMASPARTNERS, INC.	Former SEC adviser	Jul 18, 2017	Mar 30, 2018	no	BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVESTMENT PLANNING ASSOCIATES INC	MAI CAPITAL MANAGEMENT, LLC	Jan 3, 2022	Dec 23, 2021	-11	Firm change	RIA to RIA
ADVICE AND PLANNING SERVICES	INVESTMENT PLANNING ASSOCIATES INC	Nov 13, 2020	Nov 9, 2020	-4	Firm change	Ibd to RIA
CHARLES SCHWAB INVESTMENT ADVISORY, INC	ADVICE AND PLANNING SERVICES	Jun 5, 2019	Aug 6, 2019	62	Firm change	RIA to ibd
THOMASPARTNERS, INC.	CHARLES SCHWAB INVESTMENT ADVISORY, INC	Mar 30, 2018	Feb 27, 2018	-31	Channel change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104966:151739:MA:2018-03-30	Mar 30, 2018	Feb 27, 2018	BOSTON, MA	Firm change after gap

Relationships

Registered with (5)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 23, 2021 to presentfactForm ADV
→ INVESTMENT PLANNING ASSOCIATES INCRegistered adviserregistration: previous registration
Nov 9, 2020 to Jan 3, 2022factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Aug 6, 2019 to Nov 13, 2020factForm ADV
→ CHARLES SCHWAB INVESTMENT ADVISORY, INCRegistered adviserregistration: previous registration
Feb 27, 2018 to Jun 5, 2019factForm ADV
→ THOMASPARTNERS, INC.Registered adviserregistration: previous registration
Jul 18, 2017 to Mar 30, 2018factForm ADV

Dated events

Occurred
Jan 3, 2022
Advisor changed firm
Ari Seth Wiener left Investment Planning Associates Inc for Mai Capital Management, Llc (registered 2021-12-23)
Form ADVobserved 4 days ago