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Maxim Group
Maxim Group launched in 2002, operating from midtown Manhattan as a full-service investment bank, securities, and wealth management firm. The firm provides...
Maxim Group
Maxim Group launched in 2002, operating from midtown Manhattan as a full-service investment bank, securities, and wealth management firm. The firm provides financial planning, portfolio management, and advisory services to individuals, high-net-worth clients, and business entities, while its corporate-facing division concentrates on emerging growth and small-cap companies. The firm’s offering spans wealth management, securities brokerage, and investment banking. Its advisory desk serves retail and high-net-worth clients, while its banking side originates transactions for small-cap and emerging-growth corporate clients — a structure that can produce co-branded deal access and cross-referrals between the advisory and institutional arms. The geographic focus is domestic, centered on US-based clients. Team size, total assets under management, and deal volumes are not publicly disclosed, making scale difficult to evaluate. The firm has not published information about affiliated philanthropic vehicles, real-asset arms, or operating businesses. Structure is the firm’s most meaningful differentiator. Maxim Group operates as an integrated hybrid — combining a retail wealth manager with an in-house investment bank targeting small-cap companies. This architecture departs from the typical independent RIA or standalone broker-dealer, creating a pipeline where advisory clients may see access to small-cap origination, and corporate clients can tap a built-in distribution channel for retail capital.
General information
Firm type
Bank / Wealth / Trust
Year founded
2002
AUM
Undisclosed
Location
Region
North America
Country
United States
City
New York
Corporate office
New York, NY, United States
Frequently asked questions
Is Maxim Group primarily a wealth manager or an investment bank?
It operates as both. The firm’s retail side provides financial planning and portfolio management to individuals, high-net-worth clients, and business entities, while the institutional side offers securities and investment banking services, with a stated focus on emerging growth and small-cap corporate clients. This hybrid model distinguishes it from a pure RIA or standalone broker-dealer.
Who makes investment decisions at Maxim Group?
Maxim Group does not publicly identify its investment committee members, portfolio managers, or executive leadership on its website. Without that disclosure, the specific individuals directing asset allocation and investment banking mandates cannot be determined from available public sources.
Does Maxim Group disclose its assets under management?
No. The firm does not publish an AUM figure on its website or in public filings. Its scale remains undisclosed, which is common among privately held, hybrid financial firms where advisory and banking assets may not be reported as a single aggregate.
What types of clients does the wealth management side serve?
According to Altss research, the firm serves individuals, high-net-worth individuals, and business entities. It does not specify minimum account sizes or detail whether it structures discretionary or non-discretionary mandates, though its stated services encompass financial planning and portfolio management.
How does Maxim Group’s investment banking division complement its wealth management business?
By housing both functions under one roof, the firm creates a potential pipeline where private wealth clients may gain early access to small-cap equity and debt offerings originated by the banking side, and where corporate issuers can tap a captive retail distribution network. The extent to which this occurs in practice is not quantified in public materials.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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