Maxim Advisory LLC (New York)

Name: Maxim Advisory LLC
Address: Two World Financial Center, 36 Th Floor, New York, NY, 10281
Telephone: 212-220-9750

Maxim Advisory LLC is a large advisory firm based in New York. It manages $3.9 billion of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of New York.

Maxim Advisory provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Maxim Advisory: assets under management

The assets under management (AUM) of Maxim Advisory LLC is $3.9 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 15100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.9 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $974.88 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Maxim Advisory LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Maxim Advisory LLC

Michael Rabinowitz has been acting as President since 1 Feb 2003. Harding Advisory Llc joined the executive team most recently as the Parent Company.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Rabinowitz	Chairman/chief executive officer	1 Feb 2003	Other	1141255
James Paul Orazio	President/chief operating officer	1 Feb 2003	Other	858623
John Peter Sergio	Chief compliance officer	1 Feb 2003	Other	1474341
Edward Lawrence Rose	General counsel	1 Feb 2003	Other	1791912
Timothy Gerard Murphy	Chief financial officer	1 Feb 2003	Other	1836629
Paul George Larosa	Supervisory analyst/director of asset management	1 Feb 2003	Other	1900695
Llc Maxim Partners	Owner	1 Feb 2003	75% - 100%	04-3640102
Paul George Larosa	President	1 Apr 2003	Other	1900695
James Paul Orazio	Chief administrative officer	1 Apr 2004	Other	858623
John Peter Sergio	Chief operating officer	1 Apr 2004	Other	1474341
Isaac Sefchovich	Chief compliance officer	1 Apr 2004	Other	4069134
Brian H Field	Vice president	1 Sep 2004	Other	4157134
Alison S Wang	Vice president	1 Jan 2005	Other	4911731
Michael Anthony Giasi	Director	1 Jan 2005	Other	2084630
Tony T Huang	Managing director	1 Aug 2005	Other	5023500
Gerard Thomas Mccarthy	Chief compliance officer	1 Nov 2005	Other	3121615
Wing Fu Chau	President	1 Feb 2006	Other	2452682
Michael Anthony Liguori	Director	1 Feb 2006	Other	1962615
Michael Rabinowitz	Director	1 Feb 2006	Other	1141255
Edward Lawrence Rose	Director	1 Feb 2006	Other	1791912
Fanny Jamie Moy	Director	1 Mar 2006	Other	2999137
Xilun Chen	Vice president	1 Apr 2006	Other	3072669
Harding Advisory Llc	Parent company	1 Feb 2008	75% - 100%	140041

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Mjr Holdings	Owner	1 Feb 2003	75% - 100%	75-3831523

Based in New York

The principal office where Maxim Advisory LLC performs its advisory services is located at Two World Financial Center, 36 Th Floor, New York, NY 10281, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-220-9750 or by fax 212-220-9751. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.maximgrp.com.