Maxim Group

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.

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

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Investment Banking Advisory: M&A advisory services, strategic consulting, and transaction guidance for corporate clients seeking mergers, acquisitions, divestitures, and strategic alternatives.
2. 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.
3. Equity Research: In-depth research and analysis of emerging growth and small-cap companies across all industries to support investor decision-making.
4. Wealth Management: Wealth management services for high-net-worth individuals and institutional investors.
5. Prime Services: Prime brokerage services including clearing, custody, and financing for institutional clients.

Go-to-market motion1 record

Distribution channels3 records

Marketing channels4 records

Core 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

Segments4 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators4 records

Recent moves6 records

Expansion highlights5 records

Direct 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

• Xtwitter.com/MaximGrp
• Facebookfacebook.com/maximgroupllc
• LinkedInlinkedin.com/company/maxim-group

Revenue estimate

Valuation estimate

Number of profiles

Profiles13 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments10 records

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Maxim Group