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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 Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.