Maxim Group
Maxim Group is a privately held, full-service independent investment bank headquartered in New York that serves emerging growth and small-cap companies, institutional investors, and high-net-worth individuals through investment banking, equity research, capital markets, wealth management, executive & corporate services, and prime brokerage divisions.
- Company typePrivate
- Founded2002
- HeadquartersNew York, United States
- Headcount251–500
- GTM typeB2B
- OfferingServices
What Maxim Group does
Maxim Group is a privately held, full-service independent investment bank, securities, and wealth management firm headquartered in New York. Founded in 2002, the firm employs 251-500 people and maintains a secondary office in Garden City, New York. The company serves emerging growth and small-cap companies, institutional investors, and high-net-worth individuals through six operating divisions: Investment Banking, Equity Research, Capital Markets, Wealth Management, Executive & Corporate Services, and Prime Services. The firm positions itself as a specialist in the underserved small-cap and emerging growth segment of U.S. capital markets, providing creative financing structures for domestic and international issuers.
The firm generates revenue primarily through transaction-based fees on capital markets activities — including IPO underwriting, SPAC formations, registered direct offerings, PIPEs, at-the-market programs, and warrant inducements — supplemented by M&A advisory retainers, wealth management fees, and prime brokerage services. Maxim Group distributes its services through direct engagement with corporate issuers, an institutional sales and trading desk, and the Maxim Digital virtual investor conference platform hosting thematic sector summits in AI infrastructure, defense technology, healthcare, and industrial supply chains. The firm is led by Chairman and CEO Michael Rabinowitz alongside co-founders Clifford A. Teller and Timothy G. Murphy, with President Christopher J. Fiore and a bench of Managing Directors across M&A, healthcare investment banking, and equity research.
The company's competitive positioning rests on its full-service platform breadth within a boutique footprint, serving issuers across diverse sectors including biotechnology, clean energy, defense technology, fintech, AI infrastructure, advanced nuclear, digital assets, and healthcare. Visible 2026 transaction activity includes SPAC IPOs for Disciplined Growth Acquisition Corp ($150M) and BHAV Acquisition Corp ($100M), a $297M confidentially marketed public offering for Noveau Monde Graphite, a $125M registered direct for SEALSQ, and a $40M IPO for Deep Fission, alongside dozens of smaller PIPEs and registered directs. Recent strategic priorities include West Coast geographic expansion, a newly launched Prime Brokerage division, and aggressive vertical diversification into AI, defense, and digital asset treasury companies.
Maxim Group firmographics
Firmographics- Name
- Maxim Group
- Legal name
- Maxim Group, LLC
- Website
- https://maximgrp.com
- Company type
- Private
- Founded year
- 2002
- Operating status
- Operating
- Headcount range
- 251–500 employees
- Short description
- Maxim Group is a privately held, full-service independent investment bank headquartered in New York that serves emerging growth and small-cap companies, institutional investors, and high-net-worth individuals through investment banking, equity research, capital markets, wealth management, executive & corporate services, and prime brokerage divisions.
- Ownership category
- akta.pro rank
Where Maxim Group is headquartered
LocationHeadquarters
- HQ city
- New York
- HQ country
- United States
- HQ region
- North America
Offices2 records
Markets served
Maxim Group business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure
Revenue model
- Investment Banking Advisory: M&A advisory services, strategic consulting, and transaction guidance for corporate clients seeking mergers, acquisitions, divestitures, and strategic alternatives.
- Capital Markets: Underwriting, placement agent services, and book-running for equity offerings including IPOs, follow-on offerings, registered direct offerings, at-the-market offerings, and warrant inducements.
- Equity Research: In-depth research and analysis of emerging growth and small-cap companies across all industries to support investor decision-making.
- Wealth Management: Wealth management services for high-net-worth individuals and institutional investors.
- Prime Services: Prime brokerage services including clearing, custody, and financing for institutional clients.
Go-to-market motion1 record
Distribution channels3 records
Marketing channels4 records
Maxim Group product offering
Product offeringCore offering
Maxim Group is a full-service investment banking, securities, and wealth management firm that delivers creative financing solutions, capital markets advisory, equity research coverage, M&A advisory, wealth management for high-net-worth individuals, stock plan administration, and prime brokerage services. The firm primarily serves emerging growth, small-cap, and mid-cap companies seeking to access U.S. capital markets, as well as institutional investors seeking deal flow and high-net-worth individuals seeking personalized investment strategies.
Product overview
Maxim Group is a full-service investment banking and capital markets firm providing a unified platform of financial services. The company's core offerings include Investment Banking (capital raising and M&A advisory), Equity Research (emerging growth and small-cap analysis), Capital Markets (custom solutions and global distribution), Wealth Management, Executive & Corporate Services (stock plan administration), and Prime Services. These service lines work together to serve corporate clients, institutional investors, and high-net-worth individuals seeking financing solutions, investment guidance, and capital markets access.
Differentiator
Problem solved
Functional benefit
Products and services
- Investment Banking Creative financing solutions, capital raising, and M&A advisory for domestic and international companies seeking to navigate U.S. capital markets. Includes services as sole placement agent, co-manager, or book-runner for IPOs, follow-on offerings, registered direct offerings, and ATM programs.
- Equity Research In-depth research and analysis of emerging growth and small-cap companies across all industries to support investor decision-making. Covers sectors including consumer internet, healthcare, and other verticals.
- Capital Markets
Companies that use Maxim Group
Customer profileSegments4 records
Ideal customer profiles2 records
Maxim Group technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Maxim Group partnerships and signals
Strategic signalScale indicators4 records
Recent moves6 records
Expansion highlights5 records
Maxim Group competitors and assessment
Company assessmentDirect peers
- WallachBeth Capital: WallachBeth Capital is a boutique investment bank and broker-dealer focused on small-cap capital markets, IPOs, and corporate advisory — actively competing for placement-agent and book-runner mandates at the same end of the market as Maxim.
- D. Boral Capital: D. Boral Capital is a boutique investment bank focused on equity capital markets, M&A, and advisory for small and micro-cap companies, frequently competing for sole book-runner / placement agent roles on registered directs and ATMs at the same size band as Maxim's deals.
- Dawson James Securities: Dawson James is a boutique investment bank providing capital raising and research for micro-cap and small-cap issuers, particularly in healthcare and life sciences, the same specialty lanes where Maxim handles frequent biotech placements.
- Aegis Capital Corp. Aegis Capital is a New York-based full-service broker-dealer that, like Maxim, acts as placement agent and book-runner on small-cap IPOs, follow-ons, registered directs, and SPAC transactions, with overlapping coverage of biotech and emerging growth issuers.
- Ascendiant Capital Markets: Ascendiant Capital Markets is a boutique investment bank focused on capital markets, M&A advisory, and equity research for small and micro-cap issuers — frequently competing with Maxim for sole book-runner and co-manager roles in the same transaction size band.
- A.G.P. / Alliance Global Partners: Alliance Global Partners operates as an investment bank and broker-dealer serving small and mid-cap public companies with capital markets, research, and wealth management services — directly overlapping with Maxim's six-division full-service model.
- Lake Street Capital Markets: Lake Street Capital Markets is a full-service boutique investment bank focused on small-cap public companies, providing capital markets, research, sales, trading, and corporate advisory — competing head-to-head with Maxim on emerging growth mandates.
- Roth Capital Partners: Roth is a U.S. middle-market full-service investment bank focused on small-cap and emerging growth issuers across the same sectors (healthcare, technology, clean energy, cannabis). Closest direct competitor to Maxim in transaction types, dollar size, and client profile.
- EF Hutton (Benchmark Investments): Benchmark Investments (parent of EF Hutton) is a U.S. boutique full-service investment bank that, like Maxim, leads small-cap IPOs and follow-on offerings across healthcare, technology, and energy — recently appearing alongside Maxim on the Deep Fission bookrunner syndicate.
Broad incumbents
- B. Riley Securities: B. Riley Securities is the capital markets arm of the broader B. Riley Financial platform and a much larger incumbent offering similar investment banking, equity research, and capital markets services to small/mid-cap issuers — overlapping with Maxim but at a notably greater scale and brand footprint.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat4 records
Key risks6 records
Key highlights7 records
Customer concentration
Maxim Group social profiles
Digital presenceMaxim Group financial estimates
Financial estimateRevenue estimate
Valuation estimate
Maxim Group leadership team
Management profileNumber of profiles
Profiles13 records
Maxim Group funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Maxim Group M&A and investment
M&A and investmentM&A
Investments10 records
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Maxim Group
What does Maxim Group do?
Maxim Group is a full-service investment banking, securities, and wealth management firm that delivers creative financing solutions, capital markets advisory, equity research coverage, M&A advisory, wealth management for high-net-worth individuals, stock plan administration, and prime brokerage services. The firm primarily serves emerging growth, small-cap, and mid-cap companies seeking to access U.S. capital markets, as well as institutional investors seeking deal flow and high-net-worth individuals seeking personalized investment strategies.
Is Maxim Group a public or private company?
Maxim Group is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Maxim Group founded?
Maxim Group was founded in 2002. It employs 251 to 500 people.
Where is Maxim Group based?
Maxim Group is headquartered in New York, United States, in the North America region.
How does Maxim Group make money?
Five revenue lines are on record. Investment Banking Advisory is the primary driver. The others are capital Markets, equity Research, wealth Management and prime Services.
Who are Maxim Group's main competitors?
Direct peers on record are WallachBeth Capital, D. Boral Capital, Dawson James Securities, Aegis Capital Corp., Ascendiant Capital Markets, A.G.P. / Alliance Global Partners, Lake Street Capital Markets, Roth Capital Partners and EF Hutton (Benchmark Investments). B. Riley Securities is listed as a broad incumbent.
Does Maxim Group have an API?
No public API is recorded for Maxim Group.