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CRD 139366
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| KENNETH RICHARD MCDONALD | n/a | Woodbury, NY | 12 | 36 | 2 | yes |
| SCOTT ROCHLIN | n/a | Woodbury, NY | 12 | 26 | 2 | yes |
| JOHN WARD CONOVER | n/a | NEW YORK, NY | 12 | 28 | 1 | yes |
| THOMAS JOSEPH FILOMENA | n/a | NEW YORK, NY | 10 | 11 | n/a | yes |
| FRANK SALVATORE MANISCALCO | n/a | NEW YORK, NY | 10 | 16 | n/a | yes |
| SEAN HARRISON CARMODY | n/a | NEW YORK, NY | 10 | 16 | n/a | yes |
| ERIC DAVID KESSELMAN | n/a | NEW YORK, NY | 10 | 14 | n/a | yes |
| Patricia Serafin | n/a | NEW YORK, NY | 10 | 25 | 1 | yes |
| ANGELO LEKANIDES | n/a | NEW YORK, NY | 9 | 34 | n/a | yes |
| ERIC MATTHEW JAVER | n/a | NEW YORK, NY | 9 | 21 | n/a | yes |
| ANDREW WEINSTEIN | n/a | NEW YORK, NY | 9 | 35 | n/a | yes |
| RONALD MARK BIRNBAUM | n/a | Woodbury, NY | 8 | 36 | n/a | yes |
| ROBERT PATRICK FORD | n/a | NEW YORK, NY | 8 | 33 | n/a | yes |
| ANDREW THOMAS GROSSMAN | n/a | Woodbury, NY | 8 | 38 | n/a | yes |
| LEONARD JOSEPH PARISI | n/a | NEW YORK, NY | 8 | 30 | n/a | yes |
| LARRY DAVID MAZZONI | n/a | Woodbury, NY | 8 | 31 | n/a | yes |
| SALVATORE ANTHONY FRADELLA | n/a | Woodbury, NY | 8 | 40 | n/a | yes |
| WILLIAM PATRICK ROSEMOND | n/a | NEW YORK, NY | 8 | 32 | n/a | yes |
| GERALD BRUCE FERSHTMAN | n/a | Woodbury, NY | 8 | 31 | n/a | yes |
| Brian Robertson | n/a | NEW YORK, NY | 8 | 21 | 2 | yes |
| JUSTIN PHILIP RABINOWITZ | n/a | NEW YORK, NY | 7 | 23 | n/a | yes |
| Paul George LaRosa | n/a | NEW YORK, NY | 7 | 37 | n/a | yes |
| CHRISTOPHER JAMES FIORE | n/a | NEW YORK, NY | 7 | 34 | n/a | yes |
| ADAM IAN WACHTEL | n/a | NEW YORK, NY | 7 | 25 | n/a | yes |
| Jonathan Bennett Shapero | n/a | NEW YORK, NY | 5 | 13 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| EVANS, TIPTON, HAMLIN | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2019 | Sep 16, 2019 | Sep 27, 2024 |
| FIORE, CHRISTOPHER, JAMES | Member | C | yes | 03/2024 | May 10, 2024 | Sep 27, 2024 |
| MAXIM PARTNERS LLC | MANAGING MEMBER | E | yes | 12/2005 | Dec 5, 2011 | Sep 27, 2024 |
| MJR HOLDINGS, LLC | Owner | D | yes | 12/2005 | May 10, 2024 | Sep 27, 2024 |
| MURPHY, TIMOTHY, GERARD | CHIEF FINANCIAL OFFICER | Na | yes | 12/2005 | Dec 5, 2011 | Sep 27, 2024 |
| SIEGEL, JAMES, EDWARD | GENERAL COUNSEL | Na | yes | 08/2018 | Mar 24, 2023 | Sep 27, 2024 |
| TELLER, CLIFFORD, ADAM | CO-PRESIDENT | Na | yes | 01/2006 | Mar 27, 2024 | Sep 27, 2024 |
| TELLER, CLIFFORD, ADAM | Member | C | yes | 03/2024 | Mar 27, 2024 | Sep 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MAXIM GROUP LLC | n/a | n/a | n/a | N | yes | NY |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Woodbury | NY | United States | 10 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 20, 2026 | $445M | $285M | 35 | 28 | 1 | n/a | n/a |
| 2024 | Feb 28, 2025 | $396M | $222M | 39 | 31 | 1 | n/a | n/a |
| 2023 | Mar 27, 2024 | $371M | $201M | 41 | 33 | 1 | n/a | n/a |
| 2022 | Mar 24, 2023 | $354M | $196M | 43 | 35 | 1 | n/a | n/a |
| 2021 | Feb 24, 2022 | $388M | $206M | 53 | 38 | 1 | n/a | n/a |
| 2020 | Mar 26, 2021 | $296M | $151M | 55 | 37 | 1 | n/a | n/a |
| 2019 | Mar 23, 2020 | $295M | $146M | 56 | 38 | 1 | n/a | n/a |
| 2018 | Mar 25, 2019 | $227M | $89.3M | 51 | 35 | 1 | n/a | n/a |
| 2017 | Mar 23, 2018 | $194M | $77.2M | 46 | 32 | 1 | n/a | n/a |
| 2016 | Mar 27, 2017 | $56.9M | $28.6M | 46 | 32 | n/a | n/a | n/a |
| 2015 | Mar 11, 2016 | $42.2M | $20.7M | 44 | 29 | n/a | n/a | n/a |
| 2014 | Mar 17, 2015 | $47.9M | $23.4M | 48 | 34 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $35.8M | $12.9M | 47 | 35 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $44.5M | $14.8M | 45 | 35 | n/a | n/a | n/a |
| 2011 | Mar 26, 2012 | $146M | $122M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $445M | $396M | 12.4% | $354M | 7.9% | 35 | 39 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A.G.P / ALLIANCE GLOBAL PARTNERS | 2 | Feb 21, 2025 | Jan 29, 2025 | NEW YORK, NY | Team lift out | RIA to RIA | 5.4% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B RILEY WEALTH MANAGEMENT | 2 | Aug 12, 2016 | Oct 16, 2017 | NEW YORK, NY | Team lift out | Other | 1.5% |