DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Ari Seth Wiener
Certified Financial Planner
Feed of 09/14/2026
Also filed as Ari Seth Wiener
At current firm
4 y
since Dec 23, 2021
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mai Capital Management, LLC independent RIA currentsince Dec 23, 2021 · Bethesda, Md
- Investment Planning Associates Inc formerNov 9, 2020 to Jan 3, 2022 · Rockville, Md
- Advice And Planning Services BD affiliatedAug 6, 2019 to Nov 13, 2020 · Bethesda, Md
- Charles Schwab Investment Advisory, Inc formerFeb 27, 2018 to Jun 5, 2019 · Boston, Ma
- Thomaspartners, Inc. formerJul 18, 2017 to Mar 30, 2018 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- Investment Planning Associates Inc to Mai Capital Management, LLCleft Jan 3, 2022, registered Dec 23, 2021 (-11 days) · RIA to RIA
- Advice And Planning Services to Investment Planning Associates Incleft Nov 13, 2020, registered Nov 9, 2020 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- Charles Schwab Investment Advisory, Inc to Advice And Planning Servicesleft Jun 5, 2019, registered Aug 6, 2019 (62 days) · RIA to affiliated broker-dealer or bank
- Thomaspartners, Inc. to Charles Schwab Investment Advisory, Incleft Mar 30, 2018, registered Feb 27, 2018 (-31 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- Ari Seth Wiener left Investment Planning Associates Inc for Mai Capital Management, Llc (registered 2021-12-23)Jan 3, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address