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RIA / WealthAdvisorCertified Financial Planner13 years in industry

JAMES GREGORY SWEET

Advisor at MAI CAPITAL MANAGEMENT, LLC

Ellicott City, 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:af391c5b-ef8f-3a0f-30b1-b91b3a447aa8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 4, 2015 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: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 2, 2015
First registration: Mar 4, 2015
Dual registered: no
Other names: JAMES GREGORY SWEET
IAPD individual key: 6202653

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 16, 2025	n/a	yes	Ellicott City, MD	Current employment
COURT PLACE ADVISORS LLC	Former SEC adviser	Oct 25, 2019	Dec 1, 2025	no	Ellicott City, MD	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 26, 2017	Oct 16, 2019	no	Washington, DC	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 26, 2017	Oct 16, 2019	no	WASHINGTON, DC	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Mar 4, 2015	May 25, 2017	no	MCLEAN, VA	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
COURT PLACE ADVISORS LLC	MAI CAPITAL MANAGEMENT, LLC	Dec 1, 2025	Dec 16, 2025	15	Firm change	RIA to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	COURT PLACE ADVISORS LLC	Oct 16, 2019	Oct 25, 2019	9	Firm change	RIA to RIA
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 16, 2019	Jun 26, 2017	-842	Channel change	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	TD AMERITRADE, INC.	May 25, 2017	Jun 26, 2017	32	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
108545:109807:MD:2025-12-01	Dec 1, 2025	Dec 16, 2025	ELLICOTT CITY, MD	Firm change

Relationships

Registered with (5)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 16, 2025 to presentfactForm ADV
→ COURT PLACE ADVISORS LLCRegistered adviserregistration: previous registration
Oct 25, 2019 to Dec 1, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 26, 2017 to Oct 16, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 26, 2017 to Oct 16, 2019factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Mar 4, 2015 to May 25, 2017factForm ADV

Dated events

Occurred
Dec 1, 2025
Advisor changed firm
James Gregory Sweet left Court Place Advisors Llc for Mai Capital Management, Llc (registered 2025-12-16)
Form ADVobserved 6 days ago