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MAXIM FINANCIAL ADVISORS LLC
CRD 139366 · SEC 801-66147
300 PARK AVE, 16TH FL, NEW YORK, NY, 10022, United States
Phone
212-895-3500
Fax
212-895-3588
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$445.5M
Discretionary AUM
$284.7M
Team
35 total employees; 28 advisory reps
Clients
—
Fees
Percentage of AUM
Org form
Limited Liability Company
Filing date
2026-03-20
Disciplinary history
Yes
Services
Portfolio management (individuals)Portfolio management (institutions)Selection of other advisers
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 710 | $247.6M |
| High net worth individuals | 48 | $164.9M |
| Pension/profit sharing plans | 5 | $6.9M |
| Corporations/business entities | 12 | $26.1M |
States served
AZ, CA, CO, GA, IL, MD, MA, MI, MN, NJ, NY, NC, OH, OR, PA, SC, TN, VA, WA, TX, NH, HI, CT, FL
All web addresses on file
Official SEC filing: View on IAPD