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MAXWELL WEALTH

PLEASANTON, CA · CRD 317081 · IAPD ↗ · 925-523-3288

$290.0MRegulatory AUM
3Advisory reps
5Employees
0Clients
251-500Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
July 2025 — MAXWELL WEALTH (PLEASANTON, CA) left the SEC roster (was $290.0M RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
73
March 2025 — MAXWELL WEALTH reports 251-500 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
January 2025 — MAXWELL WEALTH notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
January 2025 — MAXWELL WEALTH reported RAUM up 26% ($231.1M -> $290.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.