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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BIEGEL WALLER INVESTMENT ADVISORY SERVICES

BIEGEL & WALLER LLC, CRD 109597

COLUMBIA, 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:bb994594-73f2-95b9-9e45-4ed68f385872

Data as of Mar 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Mar 27, 2019
18 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $512MItem 5.F on the latest filing (2019-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $512M
Private client RAUM: $510MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,256
Individual clients: 135
High net worth clients: 183
Custody, client assets: $42.4M
SEC number: 801-57900
CRD: 109597
Filings on the tape: 18
First filed: Feb 29, 2012
Latest filed: Mar 27, 2019
Organised: Limited Liability Company, Maryland

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
BIEGEL, MARK, DAVID	MANAGING MEMBER	D	yes	07/2000	Feb 29, 2012	Mar 27, 2019
JENKINS, PETER, P	CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR	Na	yes	04/2010	Feb 29, 2012	Mar 27, 2019
WALLER, JAMES, B	MANAGING MEMBER	D	yes	07/2000	Feb 29, 2012	Mar 27, 2019

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
BIEGEL & WALLER LLP	n/a	n/a	n/a	N	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
2018	Mar 27, 2019	$512M	$512M	11	6	0	n/a	n/a
2017	Mar 12, 2018	$544M	$544M	11	6	0	n/a	n/a
2016	Mar 24, 2017	$523M	$523M	11	6	n/a	n/a	n/a
2015	Mar 21, 2016	$584M	$584M	10	6	n/a	n/a	n/a
2014	Jan 27, 2015	$577M	$577M	10	5	n/a	n/a	n/a
2013	Mar 5, 2014	$515M	$515M	10	6	n/a	n/a	n/a
2012	Mar 20, 2013	$453M	$453M	10	6	n/a	n/a	n/a
2011	Feb 29, 2012	$401M	$401M	n/a	n/a	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
2018	$512M	$544M	-5.9%	$584M	-4.3%	11	11	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
BDO WEALTH ADVISORS, LLC	4	Jan 24, 2020	Feb 6, 2020	COLUMBIA, MD	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← JENKINS, PETER, POwnerCHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV
← BIEGEL, MARK, DAVIDOwnerMANAGING MEMBER, ownership code D, individual
Feb 29, 2012 to presentfactForm ADV
← WALLER, JAMES, BOwnerMANAGING MEMBER, ownership code D, individual
Feb 29, 2012 to presentfactForm ADV

Moved with (1)

→ BDO WEALTH ADVISORS, LLCRegistered adviser4 advisors, firm absorbed, same day
Jan 24, 2020 to Feb 6, 2020factForm ADV

Registered with (7)

← PETER PAUL JENKINSAdvisorregistration: previous registration
Jan 11, 2010 to Jan 24, 2020factForm ADV
← MATTHEW ARI GOTLINAdvisorregistration: previous registration
Mar 5, 2010 to Jan 24, 2020factForm ADV
← MARK DAVID BIEGELAdvisorregistration: previous registration
Nov 13, 2000 to Jan 24, 2020factForm ADV
← JAMES BOYD WALLERAdvisorregistration: previous registration
Nov 13, 2000 to Jan 24, 2020factForm ADV
← JACK ARTHUR RAMEYAdvisorregistration: previous registration
Sep 6, 2017 to Oct 23, 2019factForm ADV
← GEORGE VASILIS PANAGEOTOUAdvisorregistration: previous registration
Sep 19, 2014 to Apr 19, 2017factForm ADV
← WILLIAM DAVID BERGERAdvisorregistration: previous registration
Feb 8, 2013 to Jun 13, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb994594-73f2-95b9-9e45-4ed68f385872
First observed: Feb 29, 2012
Last observed: Mar 27, 2019 91 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.

BIEGEL WALLER INVESTMENT ADVISORY SERVICES

BIEGEL & WALLER LLC, CRD 109597

COLUMBIA, 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:bb994594-73f2-95b9-9e45-4ed68f385872

Data as of Mar 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:33 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BIEGEL, MARK, DAVID

MANAGING MEMBER

yes

07/2000

Feb 29, 2012

Mar 27, 2019

JENKINS, PETER, P

CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR

yes

04/2010

Feb 29, 2012

Mar 27, 2019

WALLER, JAMES, B

MANAGING MEMBER

yes

07/2000

Feb 29, 2012

Mar 27, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BIEGEL & WALLER LLP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 27, 2019

$512M

n/a

2017

Mar 12, 2018

$544M

n/a

2016

Mar 24, 2017

$523M

n/a

2015

Mar 21, 2016

$584M

n/a

2014

Jan 27, 2015

$577M

n/a

2013

Mar 5, 2014

$515M

n/a

2012

Mar 20, 2013

$453M

n/a

2011

Feb 29, 2012

$401M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$512M

$544M

-5.9%

$584M

-4.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BDO WEALTH ADVISORS, LLC

Jan 24, 2020

Feb 6, 2020

COLUMBIA, MD

Firm absorbed

RIA to RIA

100.0%