Maxim Financial Advisors Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 139366
· SEC file 801-66147
· New York, NY
· WWW.MAXIMGRP.COM
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ADV data as of Mar 20, 2026
- Regulatory AUM
- $445M
- Discretionary
- $285M
- Clients
- 775
- Avg AUM / client
- $575K
- Accounts
- 775
- Employees
- 35
AUM over time
$35.8M
$445M
Dec 5, 2011
Mar 20, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 710 | $248M | 55.6% |
| High net worth individuals | 48 | $165M | 37.0% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | 5 | $6.9M | 1.55% |
| Charitable organizations | Fewer than 5 clients | — | — |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | 12 | $26.1M | 5.85% |
People (40)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Murphy, Timothy, Gerard | Chief Financial Officer | Dec 2005 (21y) | Less than 5% | |
| Teller, Clifford, Adam | Co President | Jan 2006 (21y) | ≈ 9.38% – 37.5% via Mjr Holdings, Llc | |
| Siegel, James, Edward | General Counsel | Aug 2018 (8y) | Less than 5% | |
| Christopher James Fiore | Member | Jan 2019 (8y) | ≈ 9.38% – 37.5% via Mjr Holdings, Llc | |
| Evans, Tipton, Hamlin | Chief Compliance Officer | Sep 2019 (7y) | Less than 5% | |
| Kenneth Richard Mcdonald | Registered representative | Mar 2014 (12y) | ||
| Scott Rochlin | Registered representative | Mar 2014 (12y) | ||
| John Ward Conover | Registered representative | Mar 2014 (12y) | ||
| Thomas Joseph Filomena | Registered representative | Jun 2016 (10y) | ||
| Frank Salvatore Maniscalco | Registered representative | Jun 2016 (10y) | ||
| Eric David Kesselman | Registered representative | Jun 2016 (10y) | ||
| Sean Harrison Carmody | Registered representative | Jun 2016 (10y) | ||
| Patricia Serafin | Registered representative | Jul 2016 (10y) | ||
| Angelo Lekanides | Registered representative | Mar 2017 (9y) | ||
| Eric Matthew Javer | Registered representative | May 2017 (9y) | ||
| Andrew Weinstein | Registered representative | Aug 2017 (9y) | ||
| Ronald Mark Birnbaum | Registered representative | Oct 2017 (9y) | ||
| Robert Patrick Ford | Registered representative | Oct 2017 (9y) | ||
| Andrew Thomas Grossman | Registered representative | Oct 2017 (9y) | ||
| Larry David Mazzoni | Registered representative | Oct 2017 (9y) | ||
| Leonard Joseph Parisi | Registered representative | Oct 2017 (9y) | ||
| Gerald Bruce Fershtman | Registered representative | Nov 2017 (9y) | ||
| Salvatore Anthony Fradella | Registered representative | Nov 2017 (9y) | ||
| William Patrick Rosemond | Registered representative | Nov 2017 (9y) | ||
| Brian Robertson | Registered representative | May 2018 (8y) | ||
| Justin Philip Rabinowitz | Registered representative | Jan 2019 (8y) | ||
| Adam Ian Wachtel | Registered representative | Jan 2019 (8y) | ||
| Paul George La Rosa | Registered representative | Jan 2019 (8y) | ||
| Jonathan Bennett Shapero | Registered representative | Jul 2021 (5y) | ||
| David Michael Burch | Registered representative | Jul 2021 (5y) | ||
| Fan Chen | Registered representative | Aug 2021 (5y) | ||
| Kevin James Allen | Registered representative | Aug 2021 (5y) | ||
| Adrian Justin Rose | Registered representative | Aug 2021 (5y) | ||
| Joseph Alexnder Daneshgar | Registered representative | Aug 2021 (5y) | ||
| Keren Dalia Savitzky | Registered representative | Aug 2021 (5y) | ||
| Michael Brod | Registered representative | Aug 2021 (5y) | ||
| Nolan Christopher Lowe | Registered representative | Aug 2021 (5y) | ||
| Murry Meir Shapero | Registered representative | Aug 2021 (5y) | ||
| Jimmy Khaski | Registered representative | Apr 2024 (2y) | ||
| Bruce Cukaj | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Maxim Partners Llc | Managing Member | Dec 2005 | A | 75% or more |
| Mjr Holdings, Llc | Owner | Dec 2005 | B | ≈ 37.5% – 75% via Maxim Partners Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Teller, Clifford, Adam: 25% – 50% of Mjr Holdings, Llc × 50% – 75% of Maxim Partners Llc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Christopher James Fiore: 25% – 50% of Mjr Holdings, Llc × 50% – 75% of Maxim Partners Llc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Mjr Holdings, Llc: 50% – 75% of Maxim Partners Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/20/2026 | 3.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Pershing $445M (100% of AUM) Mar 2026
- Charles Schwab & Co. $28.6M (10% of AUM) Sep 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 20, 2026.
View current Form ADV (SEC/IAPD) ↗