# MAXIM FINANCIAL ADVISORS LLC

MAXIM FINANCIAL ADVISORS LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 139366
- Type: SEC-registered investment adviser
- SEC file number: 801-66147
- Location: 300 PARK AVE, 16TH FL, NEW YORK, NY, 10022
- Phone: 212-895-3500
- Latest filing: 2026-03-20
- Regulatory AUM: $445.5M
- Discretionary AUM: $284.7M
- Non-discretionary AUM: $160.8M
- Clients: 35
- Accounts: 775

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| Timothy Gerard Murphy | CHIEF FINANCIAL OFFICER | — |
| Tipton Hamlin Evans | CHIEF COMPLIANCE OFFICER | — |
| James Edward Siegel | GENERAL COUNSEL | — |
| Clifford Adam Teller | CO-PRESIDENT; MEMBER | — |
| Christopher James Fiore | MEMBER | — |
| MURPHY TIMOTHY GERARD | CHIEF FINANCIAL OFFICER | — |
| RABINOWITZ MICHAEL | CHAIRMAN/CHIEF EXECUTIVE OFFICER | — |
| ORAZIO JAMES PAUL | CHIEF ADMINISTRATIVE OFFICER; PRESIDENT; PRESIDENT/CHIEF ADMINISTRATIVE OFFICER (+1 more) | — |
| SERGIO JOHN PETER | CHIEF OPERATING OFFICER | — |
| ROSE EDWARD LAWRENCE | GENERAL COUNSEL; VICE CHAIRMAN | — |
| MCCARTHY GERARD THOMAS | CHIEF COMPLIANCE OFFICER | — |
| FIELD BRIAN H | VICE PRESIDENT | — |
| LIGUORI MICHAEL ANTHONY | DIRECTOR OF OPERATIONS | — |
| JONES DOUGLAS ALAN | MANAGING DIRECTOR | — |
| PASTINE ARMAND RALPH | MANAGING DIRECTOR | — |
| LAROSA PAUL GEORGE | PRESIDENT | — |
| GARRITY JOHN JAMES | EXECUTIVE MANAGING DIRECTOR OF SALES | — |
| ZAPPONE FRANCO VINCENT | EXECUTIVE MANAGING DIRECTOR OF SALES; MANAGING DIRECTOR OF BUSINESS DEVELOPMENT | — |
| DICLEMENTE ANTHONY | PRESIDENT/CHIEF ADMINISTRATIVE OFFICER | — |
| Evans Tipton | CHIEF COMPLIANCE OFFICER | — |
| SIEGEL JAMES EDWARD | GENERAL COUNSEL | — |
| EVANS TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | — |
| TELLER CLIFFORD ADAM | CO-PRESIDENT; MEMBER | — |
| FIORE CHRISTOPHER JAMES | MEMBER | — |
| DICLEMENTE ANTHONY NMN | PRESIDENT/CHIEF ADMINISTRATIVE OFFICER | — |


## Disclosures (50)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/139366/brochure
- Similar advisers: https://search.stillhousedata.com/firm/139366/similar
- Related entities: https://search.stillhousedata.com/firm/139366/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/139366

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.