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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M•••• C•••••• G••••• L••
Latest filing Apr 8, 2026
First filing on the tape Mar 28, 2018 · 15 filings
SEC status approved since Apr 27, 2018
RAUM
$2.2B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
12
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.2B as of Apr 8, 2026
Mar 28, 2019$484M then
HNW client RAUM$0 as of Apr 8, 2026
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Apr 8, 2026
Mar 28, 20190 then
Employees (5.A)19 as of Apr 8, 2026
Mar 28, 20199 then
Private funds12 as of Apr 8, 2026
Mar 28, 20194 then
RAUM +15% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 8, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $109MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B78%
- Insurance companies$478M22%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.78 institutional_share=0.22 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• I••••• O••••••••• F••• I•• L••• | Real Estate Fund | $446M | 332 | Mar 28, 2019 |
| M•••• I••••• R••• I•• L•• | Real Estate Fund | $446M | 124 | Mar 28, 2019 |
| M•••••• I••• L•• | Real Estate Fund | $298M | 2 | Mar 26, 2021 |
| M•••• I••••• R••• I••• L•• | Real Estate Fund | $298M | 124 | Mar 26, 2021 |
| M•••• I••••• O••••••••• F••• I• L••• | Real Estate Fund | $270M | 187 | May 24, 2017 |
| M•••• I••••• R•••• L•• | Real Estate Fund | $270M | 124 | May 24, 2017 |
| M•••• I••••• O••••••••• F••• I••• L••• | Real Estate Fund | $196M | 258 | Mar 22, 2022 |
| M•••• I••••• O••••••••• F••• I•• L••• | Real Estate Fund | $106M | 222 | Mar 28, 2023 |
| M•••• I••••• R••• I•• L•• | Real Estate Fund | $106M | 0 | Mar 28, 2023 |
| M•••• I••••• O••••••••• O••••••• F•••• L• | Real Estate Fund | $29.9M | 37 | Mar 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A••• · Managing Directorcontrolsince 06/2016 · owns less than 5%
- M••••••••• E•••••• G••••• · Chief Compliance Officer/Chief Financial Officer/Chief Operating Officercontrolsince 06/2016 · owns less than 5%
- S••••••• B••••• K••••• · Managing Directorcontrolsince 06/2016 · owns less than 5%
Entity owners
- M•••• C•••••• H•••••••• L••• · Memberdirect · owns 75% or more
- M•••• C•••••• H••••••• G••••• · Partnerindirect · owns F of M•••• C•••••• H•••••••• L•••
Related persons
Schedule D 7.A
- M•••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsorn
- M•••• C••••• G••••• L••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 20Mar 27, 2025 to Mar 25, 2026
- Pooled vehicle clients · 14 to 15Mar 27, 2025 to Mar 25, 2026
- Employees · 16 to 19Mar 27, 2025 to Mar 25, 2026
- Private funds · 10 to 12Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.8B to $2.1BMar 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $125M to $43.4MMar 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $1.5B to $1.7BMar 27, 2025 to Mar 25, 2026
- RAUM · $1.9B to $2.2BMar 27, 2025 to Mar 25, 2026
- Employees · 14 to 16Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- Other offices · 0 to 2Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.7B to $1.8BMar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.4B to $1.5BMar 26, 2024 to Mar 27, 2025
- RAUM · $1.8B to $1.9BMar 26, 2024 to Mar 27, 2025
- Accounts · 16 to 17Apr 4, 2023 to Mar 26, 2024
- Employees · 13 to 14Apr 4, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.3B to $1.7BApr 4, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BApr 4, 2023 to Mar 26, 2024
- RAUM · $1.5B to $1.8BApr 4, 2023 to Mar 26, 2024
- Accounts · 12 to 16Sep 28, 2022 to Mar 28, 2023
- Pooled vehicle clients · 10 to 14Sep 28, 2022 to Mar 28, 2023
- Employees · 11 to 13Sep 28, 2022 to Mar 28, 2023
- Private funds · 8 to 10Sep 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.2B to $1.3BSep 28, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $150M to $125MSep 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.1B to $1.3BSep 28, 2022 to Mar 28, 2023
- RAUM · $1.3B to $1.5BSep 28, 2022 to Mar 28, 2023
- Accounts · 10 to 12Mar 26, 2021 to Mar 22, 2022
- Pooled vehicle clients · 8 to 10Mar 26, 2021 to Mar 22, 2022
- Employees · 9 to 11Mar 26, 2021 to Mar 22, 2022
- Private funds · 6 to 8Mar 26, 2021 to Mar 22, 2022
- Discretionary RAUM · $815M to $1.2BMar 26, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $100M to $150MMar 26, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $790M to $1.1BMar 26, 2021 to Mar 22, 2022
- RAUM · $915M to $1.3BMar 26, 2021 to Mar 22, 2022
- Accounts · 6 to 10Aug 26, 2020 to Mar 26, 2021
- Pooled vehicle clients · 5 to 8Aug 26, 2020 to Mar 26, 2021
- Private funds · 4 to 6Aug 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $672M to $815MAug 26, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $697M to $790MAug 26, 2020 to Mar 26, 2021
Signals
6 dated events
- M•••• C•••••• G••••• L•• reported RAUM $1.3B, up 42% from $915.1M (2021-03-26 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- Barry Bergman (Committee Chair) no longer on Schedule A of M•••• C•••••• G••••• L•• (listed 2021-03-26, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- Steven Scott Prince (Committee Chair) no longer on Schedule A of M•••• C•••••• G••••• L•• (listed 2021-03-26, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- M•••• C•••••• G••••• L•• reported RAUM $772.1M, up 59% from $484.2M (2019-03-28 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- M•••• C•••••• G••••• L•• reported RAUM $484.2M, up 75% from $277.3M (2018-03-28 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- M•••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2018 · First SEC registration · fact
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
- Firm profile
- linkedin.com/company/maxim-capital-group/?viewAsMember=truereportedpublic record, Form ADV, Sep 19, 2026
- Website
- M••••CAPITALGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-327-2555reportedpublic record, Form ADV, Apr 8, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
M•••• C•••••• G••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…