Hedge Fund Database

MAXWELL WEALTH

MAXWELL WEALTH STRATEGIES INC. Legal Name

Adviser information for MAXWELL WEALTH last updated from Form ADV on February 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 635 $217.1M
Non-Discretionary 10 $14.0M
Total 645 $231.1M

Clients

Type Number RAUM
Individuals 154 $52.1M
HNW Individuals 64 $163.6M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 10 $15.3M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-122641
SEC ERA File Number 801-122641
SEC CIK Numbers 1993410
SEC CRD Numbers 317081
Legal Entity Identifier None

Principal Office

7041 KOLL CENTER PARKWAY
SUITE 275
PLEASANTON
CA
United States
Monday - Friday, 8:00 AM - 4:00 PM
Tel: 925-523-3288, Fax: 925-523-3189

Chief Compliance Officer

JAMES ERIC MAXWELL
MANAGING MEMBER & CHIEF COMPLIANCE OFFICER
7041 KOLL CENTER PARKWAY
SUITE 275
PLEASANTON
CA
United States
Tel: 925-523-3288
Fax: 925-523-3189
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MAXWELL, JAMES, ERIC Individual – MANAGING MEMBER & CHIEF COMPLIANCE OFFICER 06/2015 > 75%

No. Employees, Historic

1050202120222023202420251 on 10/6/20211 on 10/6/20211 on 10/7/20211 on 11/5/20211 on 11/15/20211 on 1/21/20221 on 9/27/20222 on 11/2/20223 on 1/13/20233 on 1/20/20233 on 5/30/20235 on 7/12/20235 on 7/13/20235 on 9/12/20235 on 9/29/20235 on 10/25/20235 on 10/26/20235 on 11/3/20235 on 2/14/2024

RAUM, Historic

300M150M0202120222023202420250 on 10/6/20210 on 10/6/20210 on 10/7/20210 on 11/5/20210 on 11/15/2021145000000 on 1/21/2022145000000 on 9/27/2022145000000 on 11/2/2022145000000 on 1/13/2023132390000 on 1/20/2023132390000 on 5/30/2023132390000 on 7/12/2023132390000 on 7/13/2023132390000 on 9/12/2023220000000 on 9/29/2023220000000 on 10/25/2023202763451 on 10/26/2023202763451 on 11/3/2023231079378 on 2/14/2024

No. Clients, Historic

8004000202120222023202420250 on 10/6/20210 on 10/6/20210 on 10/7/20210 on 11/5/20210 on 11/15/2021136 on 1/21/2022136 on 9/27/2022136 on 11/2/2022136 on 1/13/2023148 on 1/20/2023148 on 5/30/2023148 on 7/12/2023148 on 7/13/2023148 on 9/12/2023275 on 9/29/2023275 on 10/25/2023712 on 10/26/2023712 on 11/3/2023228 on 2/14/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADVANCED MICRO DEVICES INC COM 2M 15K 0
ADVISORS INNER CIRCLE FD III DEMCRATIC LG ETF 2M 55K 0
AIM ETF PRODUCTS TRUST US LRGCP B20 NOV 222K 7K 0
AIM ETF PRODUCTS TRUST US LRGCP B20 DEC 338K 11K 0
AIM ETF PRODUCTS TRUST US LAGCP B20 MAY 208K 7K 0
AIR PRODS & CHEMS INC COM 2M 8K 0
ALLSTATE CORP COM 1M 7K 0
ALPHABET INC CAP STK CL A 4M 24K 0
ALPHABET INC CAP STK CL C 785K 4K 0
AMAZON COM INC COM 2M 12K 0
APPLE INC COM 7M 32K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 298K 733 0
BLACKROCK ETF TRUST US EQT FACTOR 6M 118K 0
BLACKROCK ETF TRUST II FLEXIBLE INCOME 293K 6K 0
BP PLC SPONSORED ADR 724K 20K 0
BROADCOM INC COM 4M 3K 0
CHUBB LIMITED COM 3M 11K 0
CISCO SYS INC COM 2M 42K 0
CME GROUP INC COM 1M 7K 0
COMCAST CORP NEW CL A 1M 35K 0
DARDEN RESTAURANTS INC COM 1M 8K 0
DEVON ENERGY CORP NEW COM 1M 29K 0
DEXCOM INC COM 1M 10K 0
DIAMONDBACK ENERGY INC COM 1M 7K 0
EATON CORP PLC SHS 5M 15K 0
EATON VANCE RISK-MANAGED DIV COM 3M 311K 0
EDWARDS LIFESCIENCES CORP COM 2M 21K 0
FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 218K 4K 0
FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 4M 64K 0
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 517K 3K 0
FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 5M 58K 0
FIRST TR EXCHANGE-TRADED FD FT VEST RIS 1M 44K 0
FIRST TR EXCHANGE-TRADED FD FT VEST S&P 500 216K 4K 0
FIRST TR NASDAQ 100 TECH IND SHS 412K 2K 0
FISERV INC COM 2M 12K 0
HALLIBURTON CO COM 2M 46K 0
HOME DEPOT INC COM 3M 10K 0
INNOVATOR ETFS TRUST US EQTY PWR BUF 256K 7K 0
INNOVATOR ETFS TRUST US EQTY PWR BUF 209K 6K 0
INNOVATOR ETFS TRUST INNOVATOR GW 100 282K 11K 0
INTERCONTINENTAL EXCHANGE IN COM 2M 15K 0
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 517K 3K 0
INVESCO QQQ TR UNIT SER 1 369K 771 0
IQVIA HLDGS INC COM 2M 8K 0
ISHARES INC CORE MSCI EMKT 1M 20K 0
ISHARES INC MSCI EMRG CHN 1M 18K 0
ISHARES TR HDG MSCI EAFE 344K 10K 0
ISHARES TR US INFRASTRUC 591K 14K 0
ISHARES TR RUS TOP 200 ETF 955K 7K 0
ISHARES TR MSCI USA QLT FCT 5M 30K 0
ISHARES TR CORE TOTAL USD 3M 67K 0
ISHARES TR MSCI INTL QUALTY 368K 9K 0
ISHARES TR MSCI INTL VLU FT 415K 15K 0
ISHARES TR ESG AW MSCI EAFE 268K 3K 0
ISHARES TR ESG AWR MSCI USA 1M 9K 0
ISHARES TR RUS 2000 GRW ETF 315K 1K 0
ISHARES TR S&P 500 VAL ETF 3M 17K 0
ISHARES TR CORE S&P500 ETF 19M 36K 0
ISHARES TR S&P 500 GRWT ETF 7M 76K 0
ISHARES TR RUS 1000 ETF 3M 11K 0
ISHARES TR RUS 1000 GRW ETF 2M 5K 0
ISHARES TR RUS 2000 VAL ETF 353K 2K 0
ISHARES TR CORE S&P US GWT 604K 5K 0
ISHARES TR U.S. TECH ETF 4M 28K 0
ISHARES TR 20 YR TR BD ETF 450K 5K 0
ISHARES TR S&P 100 ETF 1M 4K 0
ISHARES TR EAFE VALUE ETF 1M 23K 0
ISHARES TR EAFE GRWTH ETF 2M 23K 0
ISHARES TR MBS ETF 776K 8K 0
ISHARES TR CALIF MUN BD ETF 378K 7K 0
JOHNSON & JOHNSON COM 1M 10K 0
JOHNSON CTLS INTL PLC SHS 768K 12K 0
JPMORGAN CHASE & CO. COM 5M 27K 0
L3HARRIS TECHNOLOGIES INC COM 1M 6K 0
LAUDER ESTEE COS INC CL A 404K 4K 0
MARATHON PETE CORP COM 3M 16K 0
MEDTRONIC PLC SHS 1M 15K 0
MERCK & CO INC COM 3M 21K 0
META PLATFORMS INC CL A 3M 6K 0
MICROSOFT CORP COM 10M 22K 0
MOTOROLA SOLUTIONS INC COM NEW 3M 9K 0
NEXTERA ENERGY INC COM 483K 7K 0
NVIDIA CORPORATION COM 574K 5K 0
NXP SEMICONDUCTORS N V COM 2M 8K 0
PROSHARES TR S&P 500 DV ARIST 483K 5K 0
PROSHARES TR S&P 500 HIGH INC 764K 18K 0
S&P GLOBAL INC COM 1M 3K 0
SALESFORCE INC COM 2M 10K 0
SELECT SECTOR SPDR TR FINANCIAL 247K 6K 0
SELECT SECTOR SPDR TR SBI HEALTHCARE 317K 2K 0
SPDR S&P 500 ETF TR TR UNIT 2M 4K 0
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 214K 400 0
STERIS PLC SHS USD 1M 6K 0
TESLA INC COM 261K 1K 0
TJX COS INC NEW COM 3M 23K 0
TRANE TECHNOLOGIES PLC SHS 4M 12K 0
UNION PAC CORP COM 1M 6K 0
UNITEDHEALTH GROUP INC COM 2M 3K 0
VANGUARD INDEX FDS VALUE ETF 2M 11K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 336K 672 0
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 1M 19K 0
VERIZON COMMUNICATIONS INC COM 873K 21K 0
VISA INC COM CL A 3M 13K 0
WALMART INC COM 3M 38K 0