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MAXIM FINANCIAL ADVISORS LLC
CRD 139366File 801-66147
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 20, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$445.5M
Below cohort median (national)
Discretionary AUM
$284.7M
Non-discretionary $160.8M
Clients
775
775 accounts
Employees
35
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 26, 2006
- Principal office
- 300 PARK AVE, 16TH FL, NEW YORK, NY, 10022
- Phone
- 212-895-3500
- Website
- HTTP://WWW.MAXIMGRP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $445.5M
- Discretionary AUM
- $284.7M
- Non-discretionary AUM
- $160.8M
- Discretionary accounts
- 438
- Non-discretionary accounts
- 337
- Total accounts
- 775
- AUM per client
- $575K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 12 | $26.1M |
| Non-U.S. persons | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Charitable organizations | Fewer than 5 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| High net worth individuals | 48 | $164.9M |
| Banking or thrift institutions | Fewer than 5 | Not reported |
| Pension and profit sharing plans | 5 | $6.9M |
| State or municipal government entities | Fewer than 5 | Not reported |
| Individuals (other than high net worth individuals) | 710 | $247.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11D2
- Q11D4
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 39 | 35 | decreased by4 |
| Apr 1, 2026 | Clients | 747 | 775 | increased by28 |
| Apr 1, 2026 | AUM | $396,466,473 | $445,461,887 | increased by$48,995,414 |
| Apr 1, 2026 | Accounts | 753 | 775 | increased by22 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 53 | 39 | decreased by14 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 749 | 747 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $387,717,103 | $396,466,473 | increased by$8,749,370 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 749 | 753 | increased by4 |
| Mar 1, 2022 | Employees | 55 | 53 | decreased by2 |
| Mar 1, 2022 | Clients | 682 | 749 | increased by67 |
| Mar 1, 2022 | AUM | $296,161,772 | $387,717,103 | increased by$91,555,331 |
| Mar 1, 2022 | Accounts | 682 | 749 | increased by67 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MAXIM FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MAXIM FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.