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MAXQ ASSET MANAGEMENT LLC

GREENWOOD VILLAGE, CO · CRD 336560 · IAPD ↗ · maxqam.com · 720-452-2343

$407.7MRegulatory AUM
1Advisory reps
1Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — MAXQ ASSET MANAGEMENT LLC notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
48
April 2026 — MAXQ ASSET MANAGEMENT LLC moved its main office from NEWPORT BEACH, CA to GREENWOOD VILLAGE, CO.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
68
December 2025 — MAXQ ASSET MANAGEMENT LLC now reports custody of client assets ($400.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
July 2025 — MAXQ ASSET MANAGEMENT LLC (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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