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

GEIER ASSET MANAGEMENT INC

CRD 109986

MARRIOTTSVILLE, 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:f7b445f0-0ee0-2067-4c1a-fe582925a5b7

Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 23, 2021
18 observations

Across DFX

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

Private Equityidentity

Geier Asset Management Inc

Private equity manager · 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: $354MItem 5.F on the latest filing (2021-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $323M
Private client RAUM: $346MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,248
Individual clients: 294
High net worth clients: 78
Custody, client assets: $353M
SEC number: 801-56955
CRD: 109986
Filings on the tape: 18
First filed: Mar 30, 2012
Latest filed: Mar 23, 2021
Organised: Corporation, Maryland

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
GAM YAPP	Private Equity Fund	$2,000	Mar 10, 2016	11	Mar 23, 2015	dropped	n/a

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
GEIER, JOSEPH, NICHOLAS	President	E	yes	10/1999	Mar 30, 2012	Mar 23, 2021
GEIER, THOMAS, MICHAEL	CHIEF COMPLIANCE OFFICER	A	yes	01/2001	Mar 30, 2012	Mar 23, 2021
WOODS, BRIAN, JOSEPH	VICE PRESIDENT	A	yes	01/2004	Mar 30, 2012	Mar 23, 2021

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
GEIER FINANCIAL MANAGEMENT, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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
2020	Mar 23, 2021	$354M	$323M	8	6	1	n/a	n/a
2019	Mar 28, 2020	$332M	$317M	8	6	1	n/a	n/a
2018	Mar 26, 2019	$248M	$236M	8	6	1	n/a	n/a
2017	Mar 7, 2018	$244M	$232M	8	5	1	n/a	n/a
2016	Feb 3, 2017	$208M	$198M	8	5	n/a	n/a	n/a
2015	Mar 10, 2016	$176M	$165M	9	6	n/a	1	$2,000
2014	Mar 23, 2015	$162M	$150M	9	6	n/a	1	$680,000
2013	Jan 31, 2014	$172M	$156M	9	6	n/a	n/a	n/a
2012	Mar 28, 2013	$195M	$182M	8	6	n/a	n/a	n/a
2011	Mar 30, 2012	$188M	$173M	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
2020	$354M	$332M	6.5%	$244M	13.1%	8	8	1	1

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
MAI CAPITAL MANAGEMENT, LLC	5	Sep 24, 2021	Nov 1, 2021	MARRIOTTSVILLE, MD	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← GEIER, JOSEPH, NICHOLASOwnerPRESIDENT, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← GEIER, THOMAS, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← WOODS, BRIAN, JOSEPHOwnerVICE PRESIDENT, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser5 advisors, firm absorbed, same day
Sep 24, 2021 to Nov 1, 2021factForm ADV

Registered with (8)

← JOSEPH NICHOLAS GEIERAdvisorregistration: previous registration
Oct 29, 2001 to Sep 24, 2021factForm ADV
← DANIEL WOODWARD MULESAdvisorregistration: previous registration
Sep 2, 2015 to Sep 24, 2021factForm ADV
← BRIAN JOSEPH WOODSAdvisorregistration: previous registration
Jun 3, 2003 to Sep 24, 2021factForm ADV
← GREGORY A PALACOROLLAAdvisorregistration: previous registration
Feb 25, 2013 to Sep 24, 2021factForm ADV
← Brendan Lawrence WinklerAdvisorregistration: previous registration
Jan 18, 2019 to Sep 24, 2021factForm ADV
← ERICH MICHAEL IMPHONGAdvisorregistration: previous registration
Feb 25, 2013 to Aug 3, 2016factForm ADV
← CHAD JOSEPH NORFOLKAdvisorregistration: previous registration
Oct 29, 2001 to Jun 15, 2006factForm ADV
← EDWARD CHARLES VONLANGEAdvisorregistration: previous registration
Oct 28, 2004 to Apr 13, 2005factForm ADV

Advises (1)

→ GAM YAPPPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 23, 2015 to Mar 10, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7b445f0-0ee0-2067-4c1a-fe582925a5b7
First observed: Mar 30, 2012
Last observed: Mar 23, 2021 66 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.

GEIER ASSET MANAGEMENT INC

CRD 109986

MARRIOTTSVILLE, 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:f7b445f0-0ee0-2067-4c1a-fe582925a5b7

Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:33 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

GAM YAPP

Private Equity Fund

$2,000

Mar 10, 2016

Mar 23, 2015

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GEIER, JOSEPH, NICHOLAS

President

yes

10/1999

Mar 30, 2012

Mar 23, 2021

GEIER, THOMAS, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

01/2001

Mar 30, 2012

Mar 23, 2021

WOODS, BRIAN, JOSEPH

VICE PRESIDENT

yes

01/2004

Mar 30, 2012

Mar 23, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GEIER FINANCIAL MANAGEMENT, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 23, 2021

$354M

$323M

n/a

2019

Mar 28, 2020

$332M

$317M

n/a

2018

Mar 26, 2019

$248M

$236M

n/a

2017

Mar 7, 2018

$244M

$232M

n/a

2016

Feb 3, 2017

$208M

$198M

n/a

2015

Mar 10, 2016

$176M

$165M

n/a

$2,000

2014

Mar 23, 2015

$162M

$150M

n/a

$680,000

2013

Jan 31, 2014

$172M

$156M

n/a

2012

Mar 28, 2013

$195M

$182M

n/a

2011

Mar 30, 2012

$188M

$173M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$354M

$332M

6.5%

$244M

13.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Sep 24, 2021

Nov 1, 2021

MARRIOTTSVILLE, MD

Firm absorbed

RIA to RIA

100.0%