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MAXWELL WEALTH STRATEGIES INC., CRD 317081
PLEASANTON, CA
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| MAXWELL, JAMES, ERIC | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | yes | 06/2015 | Oct 6, 2021 | Dec 13, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Feb 19, 2025 | $290M | $290M | 5 | 3 | 0 | n/a | n/a |
| 2023 | Feb 14, 2024 | $231M | $217M | 5 | 3 | 0 | n/a | n/a |
| 2022 | Jan 20, 2023 | $132M | $122M | 3 | 3 | 0 | n/a | n/a |
| 2021 | Jan 21, 2022 | $145M | $135M | 1 | 1 | 0 | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $290M | $231M | 25.5% | $145M | 26.0% | 5 | 5 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CREATIVE PLANNING | 3 | May 6, 2025 | Feb 18, 2025 | PLEASANTON, CA | Firm absorbed | RIA to RIA | 100.0% |