Thursday, October 22, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Broker-dealer firm · Alexandria, VA

First Georgetown Securities, Inc

First Georgetown Securities, Inc. · SEC-registered investment adviser · CRD 5871 · SEC 801-136757

At a glance

First Georgetown Securities, Inc is an SEC-registered investment adviser based in Alexandria, Virginia, with $116 million in regulatory assets under management as of its Form ADV filed August 12, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 123 individual clients. By Form ADV it is a broker-dealer firm, ranked 329th of 391 broker-dealer firms and 14,903rd of 17,210 SEC-registered advisers by assets.

Main office 703-519-7700firstgeorgetown.comAs filed on Form ADV

Regulatory AUM
$116M
Rank among broker-dealer firms
#329 of 391
Rank among all SEC RIAs
#14,903 of 17,210
Rank in Virginia
#274 of 300
Individual clients
123
High-net-worth clients
100
Accounts
123
Discretionary
100% of AUM
Employees
4
Advisory staff
2
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

  1. Fidelity$90M

Other RIAs using Fidelity

Broker-dealer

Hybrid RIA

First Georgetown Securities, Inc is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: First Georgetown Securities, Inc..

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
High-net-worth individuals100$75M65%
Individuals23$41M35%

Disciplinary disclosures

First Georgetown Securities, Inc answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for individuals and small businesses

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗firstgeorgetown.com ↗

AtlasMembers

The full record on First Georgetown Securities, Inc

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff from each filing
Locked
Growth over one, three and five years
Locked
Rank against 113 peers of its type and size
Locked
Owners and executives, with titles and stakes
2 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does First Georgetown Securities, Inc manage?

First Georgetown Securities, Inc reports $116 million in regulatory assets under management across 123 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 12, 2026.

What kind of firm is First Georgetown Securities, Inc?

First Georgetown Securities, Inc is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.

Who are First Georgetown Securities, Inc’s clients?

By assets, its largest client types are high-net-worth individuals ($75 million, 100 clients); individuals ($41 million, 23 clients).

Does First Georgetown Securities, Inc have any disciplinary history?

First Georgetown Securities, Inc answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is First Georgetown Securities, Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-12), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →