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.

Former SEC-registered adviser

Geier Asset Management Inc

Former SEC-registered adviserMarriottsville, MarylandCRD 109986SEC 801-56955IAPD
Latest filing Mar 23, 2021
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$354M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
98%
$346M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$354M as of Mar 23, 2021
Mar 30, 2012$188M then
HNW client RAUM$280M as of Mar 23, 2021
Mar 7, 2018$186M then
State-registered IARs (5.B.3)6 as of Mar 23, 2021
Mar 30, 20120 then
Employees (5.A)8 as of Mar 23, 2021
Mar 28, 20138 then
Private funds1 as of Mar 10, 2016
Mar 23, 20151 then
RAUM +6.5% over the last fiscal year+13% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 23, 2021; every figure names its basis
RAUM per advisor
$58.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
62derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$283,299derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
Custody
$353M, 1,241 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$280M79%
  • Individuals$65.6M19%
  • Charitable organizations$6.4M1.8%
  • Pension and profit-sharing plans$1.3M0.4%
Individual clients
294reported
HNW clients
78reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,248reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$353M for 1,241 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Gam Yappno longer reportedPrivate Equity Fund$2,00011Mar 23, 2015
    Owners and control persons
    Schedule A and B, latest filing
    • Nicholas Joseph Geier · Presidentcontrol
      since 10/1999 · owns 75% or more
    • Michael Thomas Geier · Chief Compliance Officercontrol
      since 01/2001 · owns 5% to 10%
    • Joseph Brian Woods · Vice Presidentcontrol
      since 01/2004 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • Geier Financial Management, Inc.
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,311 to 1,248
      Jun 8, 2020 to Mar 23, 2021
    • Advisory activities · 6 to 5
      Jun 8, 2020 to Mar 23, 2021
    • HNW clients · 59 to 78
      Jun 8, 2020 to Mar 23, 2021
    • Individual clients · 328 to 294
      Jun 8, 2020 to Mar 23, 2021
    • Assets in custody · $273M to $353M
      Jun 8, 2020 to Mar 23, 2021
    • Discretionary RAUM · $317M to $323M
      Jun 8, 2020 to Mar 23, 2021
    • HNW RAUM · $244M to $280M
      Jun 8, 2020 to Mar 23, 2021
    • Individual RAUM · $76.7M to $65.6M
      Jun 8, 2020 to Mar 23, 2021
    • Non-discretionary RAUM · $15.3M to $30.3M
      Jun 8, 2020 to Mar 23, 2021
    • Pension RAUM · $1.3M to $1.3M
      Jun 8, 2020 to Mar 23, 2021
    • RAUM · $332M to $354M
      Jun 8, 2020 to Mar 23, 2021
    • Accounts · 1,218 to 1,311
      Dec 16, 2019 to Mar 28, 2020
    • HNW clients · 46 to 59
      Dec 16, 2019 to Mar 28, 2020
    • Individual clients · 286 to 328
      Dec 16, 2019 to Mar 28, 2020
    • Assets in custody · $238M to $273M
      Dec 16, 2019 to Mar 28, 2020
    • Insurance-licensed employees · 1 to 0
      Dec 16, 2019 to Mar 28, 2020
    • Discretionary RAUM · $236M to $317M
      Dec 16, 2019 to Mar 28, 2020
    • HNW RAUM · $172M to $244M
      Dec 16, 2019 to Mar 28, 2020
    • Individual RAUM · $66.5M to $76.7M
      Dec 16, 2019 to Mar 28, 2020
    • Non-discretionary RAUM · $12.6M to $15.3M
      Dec 16, 2019 to Mar 28, 2020
    • Pension RAUM · $1.1M to $1.3M
      Dec 16, 2019 to Mar 28, 2020
    • RAUM · $248M to $332M
      Dec 16, 2019 to Mar 28, 2020
    • Related adviser · true to false
      Nov 13, 2019 to Dec 16, 2019
    • Accounts · 1,147 to 1,218
      Mar 8, 2018 to Mar 26, 2019
    • Advisory employees · 5 to 6
      Mar 8, 2018 to Mar 26, 2019
    • HNW clients · 62 to 46
      Mar 8, 2018 to Mar 26, 2019
    • Individual clients · 233 to 286
      Mar 8, 2018 to Mar 26, 2019
    • Assets in custody · $244M to $238M
      Mar 8, 2018 to Mar 26, 2019
    • State-registered IARs · 5 to 6
      Mar 8, 2018 to Mar 26, 2019
    • Discretionary RAUM · $232M to $236M
      Mar 8, 2018 to Mar 26, 2019
    • HNW RAUM · $186M to $172M
      Mar 8, 2018 to Mar 26, 2019
    • Individual RAUM · $47.5M to $66.5M
      Mar 8, 2018 to Mar 26, 2019
    • Non-discretionary RAUM · $12.1M to $12.6M
      Mar 8, 2018 to Mar 26, 2019
    • Pension RAUM · $2.1M to $1.1M
      Mar 8, 2018 to Mar 26, 2019
    • RAUM · $244M to $248M
      Mar 8, 2018 to Mar 26, 2019
    • Accounts · 1,215 to 1,147
      Nov 30, 2017 to Mar 7, 2018
    • HNW clients · 38 to 62
      Nov 30, 2017 to Mar 7, 2018
    • Individual clients · 229 to 233
      Nov 30, 2017 to Mar 7, 2018
    • Assets in custody · $20.8M to $244M
      Nov 30, 2017 to Mar 7, 2018
    • Insurance-licensed employees · 0 to 1
      Nov 30, 2017 to Mar 7, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026