Maximum Advisory
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,681,217
Clients
14
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
14
LowAverage account size
$191,516
About
Maximum Advisory is a fee‑only registered investment adviser that provides comprehensive financial planning and discretionary investment management to individuals, high‑net‑worth individuals, businesses, trusts, pension and profit‑sharing plans, and charitable organizations. The firm oversees roughly $2.68 million in client assets across a small client base and operates under a fiduciary standard.
The firm’s process centers on a written Investment Policy Statement for each client and combines Modern Portfolio Theory with a mix of passive and active strategies, ETFs and mutual funds, alongside quantitative and qualitative manager research. Maximum Advisory emphasizes ongoing relationships rather than one‑time plans, coordinates with other advisors, and may research or recommend non‑traditional investments while providing plan sponsor guidance and oversight for company‑sponsored retirement plans.
Maximum Advisory is affiliated with Maximum Accounting and Tax Services Inc, an accounting and tax services provider wholly owned by the firm’s principal; those services are offered under separate engagement agreements through the affiliate. Uncommon for many solo independent RIAs, the firm also provides pension consulting and manages institutional retirement accounts and offers customized educational seminars, and its principal holds both CFA and Enrolled Agent credentials.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Expertise
General retirement planning
Retirement income strategy
General tax planning
Wealth management
Real estate investing
Fee options
Flat fees quoted for financial planning services, example given: $1,000 for a financial plan
$0 - $1,000,000: 1.50% $1,000,001 - $3,000,000: 1.25% $3,000,000+: 1.00%
Up to $250 per hour depending on complexity
Fee-only: Financial planning and investment advisory services are fee-only; no commissions received.
Main office location
Maximum Advisory
Huntersville NC, United States
Number of offices
1
Most active in
Maximum Advisory has reported serving >5 clients in these states in the last 12 months.
North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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