MAXIM FINANCIAL ADVISORS LLC
Adviser information for MAXIM FINANCIAL ADVISORS LLC last updated from Form ADV on March 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 41 |
|---|---|
| Investment Advisory/Research | 33 |
| Registered Broker-Dealer Representatives | 41 |
| Registered State Investment Advisers | 41 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 352 | $200.8M |
| Non-Discretionary | 402 | $170.3M |
| Total | 754 | $371.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 378 | $74.9M |
| HNW Individuals | 354 | $262.8M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 1 | $8.9M |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 15 | $24.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 7 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 1.1M |
| Portfolio Manager | 0 |
| Both for Same | 370.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MAXIM FINANCIAL ADVISORS WRAP FEE PROGRAM | MAXIM FINANCIAL ADVISORS |
Identifiers
| SEC RIA File Number | 801-66147 |
|---|---|
| SEC ERA File Number | 801-66147 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139366 |
| Legal Entity Identifier | None |
Principal Office
300 PARK AVE16TH FL
NEW YORK
NY
United States
Monday - Friday, 8 - 6:00
Tel: 212-895-3500, Fax: 212-895-3588
Websites
Chief Compliance Officer
TIPTON EVANS
CHIEF COMPLIANCE OFFICER
300 PARK AVE
16TH FL
NEW YORK
NY
United States
Tel:
212-895-3500
Fax:
212-895-3588
T*****@***********M
(Full email address available in API data)
Industry Affiliates
| MAXIM GROUP LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MJR HOLDINGS | Domestic Entity | MAXIM PARTNERS LLC | OWNER | 12/2005 | > 75% |
| MURPHY, TIMOTHY, GERARD | Individual | – | CHIEF FINANCIAL OFFICER | 12/2005 | < 5% |
| MAXIM PARTNERS LLC | Domestic Entity | – | MANAGING MEMBER | 12/2005 | > 75% |
| ZAPPONE, FRANCO, VINCENT | Individual | – | EXECUTIVE MANAGING DIRECTOR OF SALES | 02/2020 | < 5% |
| DICLEMENTE, ANTHONY | Individual | – | PRESIDENT/CHIEF ADMINISTRATIVE OFFICER | 03/2019 | < 5% |
| Evans, Tipton | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2019 | < 5% |
| SIEGEL, JAMES, EDWARD | Individual | – | GENERAL COUNSEL | 08/2018 | < 5% |
| TELLER, CLIFFORD, ADAM | Individual | – | CO-PRESIDENT | 01/2006 | < 5% |