DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Maxim Financial Advisors LLC
Latest filing Mar 20, 2026
First filing on the tape Dec 5, 2011 · 47 filings
SEC status approved since Jan 26, 2006
RAUM
$445M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
93%
$413M individuals and HNW
Advisors
36
registered through the firm on IAPD
RAUM per advisor
$12.4M
derived; firm RAUM over IAPD count
Employees
35
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$445M as of Mar 20, 2026
Mar 26, 2012$146M then
HNW client RAUM$165M as of Mar 20, 2026
Mar 23, 2018$121M then
State-registered IARs (5.B.3)35 as of Mar 20, 2026
Mar 26, 20120 then
Employees (5.A)35 as of Mar 20, 2026
Mar 26, 201345 then
Private funds: no history
RAUM +12% over the last fiscal year+7.9% a year over threeIARs 39 to 35
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $12.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $574,790derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 18.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $445MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$248M56%
- High-net-worth individuals$165M37%
- Corporations and businesses$26.1M5.9%
- Pension and profit-sharing plans$6.9M1.5%
- Individual clients
- 710reported
- HNW clients
- 48reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 775reported
- Financial planning clients
- reported
- Wrap fee programs
- $112,405 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=35.0derived
Advisors registered through the firm
36 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kenneth Richard Mcdonald | Woodbury, Ny | Mar 4, 2014 | 36 y | 2 |
| Scott Rochlin | Woodbury, Ny | Mar 4, 2014 | 26 y | 2 |
| John Ward Conover | New York, Ny | Mar 11, 2014 | 28 y | 1 |
| Thomas Joseph Filomena | New York, Ny | Jun 2, 2016 | 11 y | 0 |
| Frank Salvatore Maniscalco | New York, Ny | Jun 7, 2016 | 16 y | 0 |
| Sean Harrison Carmody | New York, Ny | Jun 16, 2016 | 16 y | 0 |
| Eric David Kesselman | New York, Ny | Jun 16, 2016 | 14 y | 0 |
| Patricia Serafin | New York, Ny | Jul 25, 2016 | 25 y | 1 |
| Angelo Lekanides | New York, Ny | Mar 23, 2017 | 34 y | 0 |
| Eric Matthew Javer | New York, Ny | May 4, 2017 | 21 y | 0 |
| Andrew Weinstein | New York, Ny | Aug 8, 2017 | 35 y | 0 |
| Ronald Mark Birnbaum | Woodbury, Ny | Oct 16, 2017 | 36 y | 0 |
| Robert Patrick Ford | New York, Ny | Oct 23, 2017 | 33 y | 0 |
| Leonard Joseph Parisi | New York, Ny | Oct 30, 2017 | 30 y | 0 |
| Andrew Thomas Grossman | Woodbury, Ny | Oct 30, 2017 | 38 y | 0 |
| Larry David Mazzoni | Woodbury, Ny | Oct 30, 2017 | 31 y | 0 |
| Salvatore Anthony Fradella | Woodbury, Ny | Nov 1, 2017 | 40 y | 0 |
| Gerald Bruce Fershtman | Woodbury, Ny | Nov 1, 2017 | 31 y | 0 |
| William Patrick Rosemond | New York, Ny | Nov 1, 2017 | 32 y | 0 |
| Brian Robertson | New York, Ny | May 31, 2018 | 21 y | 2 |
| Justin Philip Rabinowitz | New York, Ny | Jan 2, 2019 | 23 y | 0 |
| Christopher James Fiore | New York, Ny | Jan 4, 2019 | 34 y | 0 |
| Adam Ian Wachtel | New York, Ny | Jan 4, 2019 | 25 y | 0 |
| Paul George Larosa | New York, Ny | Jan 4, 2019 | 37 y | 0 |
| Jonathan Bennett Shapero | New York, Ny | Jul 19, 2021 | 13 y | 0 |
| David Michael Burch | New York, Ny | Jul 22, 2021 | 30 y | 0 |
| Fan Chen | New York, Ny | Aug 7, 2021 | 16 y | 0 |
| Kevin James Allen | New York, Ny | Aug 7, 2021 | 13 y | 0 |
| Nolan Christopher Lowe | New York, Ny | Aug 9, 2021 | 22 y | 0 |
| Joseph Alexnder Daneshgar | New York, Ny | Aug 9, 2021 | 11 y | 0 |
| Adrian Justin Rose | New York, Ny | Aug 9, 2021 | 11 y | 0 |
| Michael Brod | New York, Ny | Aug 9, 2021 | 15 y | 0 |
| Keren Dalia Savitzky | New York, Ny | Aug 9, 2021 | 10 y | 0 |
| Murry Meir Shapero | New York, Ny | Aug 19, 2021 | 38 y | 0 |
| Jimmy Khaski | New York, Ny | Apr 2, 2024 | 10 y | 0 |
| Bruce Cukaj | New York, Ny | May 4, 2026 | 14 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- Jonathan Greene to A.G.P / Alliance Global PartnersFeb 28, 2025 · RIA to RIA
- Hal William Brown to A.G.P / Alliance Global PartnersFeb 21, 2025 · RIA to RIA
- Nicholas John Hall to Oppenheimer & Co. Inc.Dec 14, 2023 · RIA to affiliated broker-dealer or bank
- Jeffrey Robert Lallemand to Oppenheimer & Co. Inc.Sep 6, 2023 · RIA to affiliated broker-dealer or bank
- Leonard Peter Leo to Fidelity Personal And Workplace AdvisorsNov 7, 2022 · Affiliated broker-dealer or bank to another
- Luciano Santino Marciano to The Pinnacle Financial GroupJul 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- Sean Michael Murphy to Axcess Global Investments LLCDec 14, 2020 · Other
- Justin M Zelen to Morgan StanleyOct 1, 2020 · Affiliated broker-dealer or bank to wirehouse
- Russell Marc Fiske to B. Riley Wealth Advisors, Inc.Jun 2, 2020 · Affiliated broker-dealer or bank to another
- Simona Taurosevicius to Gwn Securities Inc.Jul 8, 2019 · Affiliated broker-dealer or bank to another
- Nicholas E. Gonzalez to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 21, 2019 · RIA to wirehouse
- Rodney Bahy Ibrahim to Aegis Capital Corp.Sep 17, 2015 · Other
- Eric Scott Strominger to Oppenheimer & Co. Inc.Apr 1, 2014 · Other
- Anthony Gerald Polak to Aegis Capital Corp.Nov 12, 2012 · Other
Joined, latest
- Bruce Cukaj from MML Investors Services, LLCMay 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brian Robertson from Laidlaw Wealth Management LLCMay 31, 2018 · RIA to RIA
- Russell Marc Fiske from Joseph Gunnar & Co., LLCOct 16, 2017 · Other
- Jonathan Greene from B Riley Wealth ManagementOct 16, 2017 · Other
- Hal William Brown from B Riley Wealth ManagementOct 16, 2017 · Other
- Patricia Serafin from Chase Investment Services Corp.Jul 25, 2016 · Other
- Simona Taurosevicius from Professional Planning ServicesJun 7, 2016 · Other
- John Ward Conover from Oppenheimer & Co. Inc.Mar 11, 2014 · Other
- Rodney Bahy Ibrahim from Chicago Investment Group Advisors, LLCMar 5, 2014 · Other
- Eric Scott Strominger from Msi Financial Services, Inc.Apr 5, 2010 · Other
- Kenneth Richard Mcdonald from High Perch LLCFeb 6, 2006 · Other
- Scott Rochlin from High Perch LLCFeb 3, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A.G.P / Alliance Global PartnersFeb 21, 2025 · New York, Ny
- 2 joined from B Riley Wealth ManagementAug 12, 2016 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Hamlin Tipton Evans · Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- Gerard Timothy Murphy · Chief Financial Officercontrolsince 12/2005 · owns less than 5%
- Edward James Siegel · General Counselcontrolsince 08/2018 · owns less than 5%
- Adam Clifford Teller · Co-Presidentcontrolsince 01/2006 · owns less than 5%
- James Christopher Fiore · Membercontrolsince 03/2024 · owns 25% to 50% of Mjr Holdings, LLC
- Adam Clifford Teller · Membercontrolsince 03/2024 · owns 25% to 50% of Mjr Holdings, LLC
Entity owners
- Maxim Partners LLC · Managing Memberdirect · owns 75% or more
- Mjr Holdings, LLC · Ownerindirect · owns 50% to 75% of Maxim Partners LLC
Related persons
Schedule D 7.A
- Maxim Group LLCbroker-dealercustodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 29 | 1 | 0 | ||
| Woodbury, Ny | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Woodbury, NY10 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 20, 2026HNW share of RAUM moved from 84.0% to 37.0% between the annual amendments of 2025-02-28 and 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 753 to 775Feb 28, 2025 to Mar 20, 2026
- Advisory employees · 31 to 28Feb 28, 2025 to Mar 20, 2026
- BD registered reps · 39 to 35Feb 28, 2025 to Mar 20, 2026
- Corporate clients · 18 to 12Feb 28, 2025 to Mar 20, 2026
- HNW clients · 609 to 48Feb 28, 2025 to Mar 20, 2026
- Individual clients · 119 to 710Feb 28, 2025 to Mar 20, 2026
- Pension plan clients · 1 to 5Feb 28, 2025 to Mar 20, 2026
- Employees · 39 to 35Feb 28, 2025 to Mar 20, 2026
- State-registered IARs · 39 to 35Feb 28, 2025 to Mar 20, 2026
- Discretionary RAUM · $222M to $285MFeb 28, 2025 to Mar 20, 2026
- HNW RAUM · $335M to $165MFeb 28, 2025 to Mar 20, 2026
- Individual RAUM · $29.0M to $248MFeb 28, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $174M to $161MFeb 28, 2025 to Mar 20, 2026
- Pension RAUM · $6.3M to $6.9MFeb 28, 2025 to Mar 20, 2026
- RAUM · $396M to $445MFeb 28, 2025 to Mar 20, 2026
- Wrap assets (sponsor) · $1.1M to $112,405Feb 28, 2025 to Mar 20, 2026
- Accounts · 754 to 753Sep 27, 2024 to Feb 28, 2025
- Advisory employees · 33 to 31Sep 27, 2024 to Feb 28, 2025
- BD registered reps · 41 to 39Sep 27, 2024 to Feb 28, 2025
- Corporate clients · 15 to 18Sep 27, 2024 to Feb 28, 2025
- HNW clients · 354 to 609Sep 27, 2024 to Feb 28, 2025
- Individual clients · 378 to 119Sep 27, 2024 to Feb 28, 2025
- Employees · 41 to 39Sep 27, 2024 to Feb 28, 2025
- Financial planning clients · unset to Sep 27, 2024 to Feb 28, 2025
- State-registered IARs · 41 to 39Sep 27, 2024 to Feb 28, 2025
- Discretionary RAUM · $201M to $222MSep 27, 2024 to Feb 28, 2025
- HNW RAUM · $263M to $335MSep 27, 2024 to Feb 28, 2025
- Individual RAUM · $74.9M to $29.0MSep 27, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $170M to $174MSep 27, 2024 to Feb 28, 2025
- Pension RAUM · $8.9M to $6.3MSep 27, 2024 to Feb 28, 2025
- RAUM · $371M to $396MSep 27, 2024 to Feb 28, 2025
- Accounts · 768 to 754Mar 24, 2023 to Mar 27, 2024
- Advisory employees · 35 to 33Mar 24, 2023 to Mar 27, 2024
- BD registered reps · 43 to 41Mar 24, 2023 to Mar 27, 2024
- HNW clients · 309 to 354Mar 24, 2023 to Mar 27, 2024
- Individual clients · 302 to 378Mar 24, 2023 to Mar 27, 2024
- Pension plan clients · unset to 1.0Mar 24, 2023 to Mar 27, 2024
- Employees · 43 to 41Mar 24, 2023 to Mar 27, 2024
- State-registered IARs · 43 to 41Mar 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $196M to $201MMar 24, 2023 to Mar 27, 2024
Signals
18 dated events
- Jonathan Greene left Maxim Financial Advisors Llc for A.G.P / Alliance Global Partners (registered 2025-01-29)Feb 28, 2025 · Advisor changed firm · fact
- Hal William Brown left Maxim Financial Advisors Llc for A.G.P / Alliance Global Partners (registered 2025-01-24)Feb 21, 2025 · Advisor changed firm · fact
- 2 advisors left Maxim Financial Advisors LLC (New York, NY) for A.G.P / Alliance Global Partners within 7 daysFeb 21, 2025 · Team lift-out · derived
- Nmn Anthony Diclemente (President/Chief Administrative Officer) no longer on Schedule A of Maxim Financial Advisors Llc (listed 2024-05-10, absent 2024-07-29)Jul 29, 2024 · Control person left · inference
- James Christopher Fiore (Member) appeared on Schedule A of Maxim Financial Advisors LlcMay 10, 2024 · Control person joined · fact
- Adam Clifford Teller (Co-President) appeared on Schedule A of Maxim Financial Advisors LlcMar 27, 2024 · Control person joined · fact
- Peter John Sergio (Chief Operating Officer) no longer on Schedule A of Maxim Financial Advisors Llc (listed 2023-03-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Michael Rabinowitz (Chairman/Chief Executive Officer) no longer on Schedule A of Maxim Financial Advisors Llc (listed 2023-03-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Lawrence Edward Rose (Vice Chairman) no longer on Schedule A of Maxim Financial Advisors Llc (listed 2023-03-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Nicholas John Hall left Maxim Financial Advisors Llc for Oppenheimer & Co. Inc. (registered 2023-11-16)Dec 14, 2023 · Advisor changed firm · fact
- Jeffrey Robert Lallemand left Maxim Financial Advisors Llc for Oppenheimer & Co. Inc. (registered 2023-08-08)Sep 6, 2023 · Advisor changed firm · fact
- Edward James Siegel (General Counsel) appeared on Schedule A of Maxim Financial Advisors LlcMar 24, 2023 · Control person joined · fact
- Leonard Peter Leo left Maxim Financial Advisors Llc for Fidelity Personal And Workplace Advisors (registered 2022-12-22)Nov 7, 2022 · Advisor changed firm · fact
- Paul James Orazio (President/Chief Administrative Officer- Emeritus) no longer on Schedule A of Maxim Financial Advisors Llc (listed 2022-02-24, absent 2022-05-02)May 2, 2022 · Control person left · inference
- Thomas Gerard Mccarthy (Chief Compliance Officer) no longer on Schedule A of Maxim Financial Advisors Llc (listed 2019-03-25, absent 2019-09-16)Sep 16, 2019 · Control person left · inference
- Tipton Evans (Chief Compliance Officer) appeared on Schedule A of Maxim Financial Advisors LlcSep 16, 2019 · Control person joined · fact
- Anthony Diclemente (President/Chief Administrative Officer) appeared on Schedule A of Maxim Financial Advisors LlcMar 25, 2019 · Control person joined · fact
- Maxim Financial Advisors Llc reported RAUM $194.1M, up 241% from $56.9M (2017-08-10 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- MAXIMGRP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-895-3500reportedpublic record, Form ADV, Mar 20, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026