Maxim Financial Advisors LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in New York, NY. Its latest Form ADV filing, dated March 20, 2026, reports $445M in regulatory assets under management, 35 employees, 1 office, and 775 accounts.
Assets Under Management
$445M
Employees
35
Offices
1 office
Total Clients
775
Primary office
NEW YORK, NY
300 PARK AVE, 16TH FL, NEW YORK, NY, United States
Portfolio management for individuals and small businesses
Selection of other advisers
Fee models offered
1 types reported
Asset based fees
Sources checked May 13, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 91.6% of total clients.
Top client categories% of clientsClients
1
Individuals
91.6%
710
2
HNWI
6.2%
48
3
Corporations
1.5%
12
4
Pension Plans
0.6%
5
Categories with <5 clients
Banking or thrift institutions<5 clients
Charitable Organizations<5 clients
Other categories<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$445Mas of March 20, 2026
Discretionary63.9%
$285M
64% of total RAUM63.9%
Non-discretionary36.1%
$161M
36% of total RAUM36.1%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Latest AUM$445M
Total Accounts775
10Y AUM Change+$389M (+683.3%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees35
Clients per Employee22:1
10Y Employee Change-11 (-23.9%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.