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Featured Business Financial Advisor in Irvine, CA
Irvine Financial Advisors
Maxim Capital Advisors, Inc.
9160 Irvine Center Dr suite 201
Irvine, CA 92618
“Wealth Management Strategies”
Advisor Profile
Mark Robertson
Name:  Mark Robertson

About Maxim Capital Advisors, Inc.

Welcome to Maxim Capital Advisors, Inc. We are an independent, fee based Registered Investment Advisory firm located in Irvine, California. Founded in 1999 by Mark W. Robertson, CFP, our mission is to provide you with clear and unbiased investment and financial planning solutions. We will assist you in prioritizing and quantifying your financial goals, setting realistic expectations and implementing a disciplined and prudent investment strategy. One of our most important roles is determining a suitable and appropriate asset allocation strategy by analyzing your investment time horizon, risk tolerance, objectives and cash flow needs. We invest for the long term by establishing appropriate asset allocations and adjusting those allocations upon the changing circumstances and objectives of our clients and not on the vagaries of short term stock market fluctuations.At Maxim Capital Advisors, Inc., we believe an effective financial advisor relationship is built on a commitment to personal attention.
 

General Information

Gender:    Male
CRD#:    1477922
Firm CRD#:    130161
Insurance License#:    0707071
Name of Broker/Dealer:    Royal Alliance
Name of Custodial Firm:    Pershing
States Licensed in:    CA,CO,HI,NY,TX,UT,WI
States Willing to do Business in:    Aliso Viejo,Anaheim,Artesia,Brea,Buena Park,Capistrano Beach,Cerritos,Chino,Chino Hills,Corona,Corona Del Mar,Costa Mesa,Cypress,Dana Point,Diamond Bar,Foothill Ranch,Fountain Valley,Fullerton,Garden Grove,Hawaiian Gardens,Huntington Beach,Irvine,La Habra,La Mirada,La Palma,Ladera Ranch,Laguna Beach,Laguna Hills,Laguna Niguel,Lake Elsinore,Lakewood,Long Beach,Los Alamitos,Mira Loma,Mission Viejo,Newport Beach,Newport Coast,Norco,Ontario,Orange,Perris,Placentia,Pomona,Rancho Santa Margarita,Riverside,Rowland Heights,San Clemente,San Juan Capistrano,Santa Ana,Seal Beach,Silverado,Stanton,Sunset Beach,Surfside,Trabuco Canyon,Tustin,Villa Park,Walnut,West Covina,Westminster,Whittier,Yorba Linda
Years of Experience in Financial Services:    25
Number of Years with Current Firm:    13
I work with the following types of clients:    Individual Investors, Businesses, Non-Profit Organizations
Foreign Languages Serviced:    Spanish
 

Services

Investment Types:    Insurance, Stocks, Mutual Funds, Bonds, Alternative Investments, Commodities, Exchange Traded Funds (ETFs), Annuities, Socially Responsible Investments (SRI)
 

Qualifications & Memberships

Certifications, Accreditations & Designations:    CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Retirement Financial Advisor (CRFA)
Securities Licenses:    Series 7, Series 63
Insurance and Annuity Licenses:    Annuity, Life, Variable Annuity, Variable Life, Disability
Financial Organization Memberships:    Financial Planning Association (FPA)
 

Firm Information

Firm's Number of Clients:    100
Firm's Number of Planning Clients:    20
Firm's Number of Managed Clients:    43
Assets Managed by Firm:    $27,000,000
Advisor's Number of Clients:    60
Advisor's Number of Managed Clients:    41
Advisor's Number of Planning Clients:    20
Assets Managed by Advisor:    $21,000,000
 

Compliance

Registered Investment Advisor:    Yes
Registered Representative:    Yes
Investment Advisor Representative:    Yes
I am an acknowledged fiduciary:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation & Fees

Fee Structure:    I am a fee-based financial professional
Minimum Portfolio Size for New Managed Accounts:    $250,000
Compensation Methods:    Based on Assets, Hourly, Flat Fee
Fee % Based on Assets:    1.00
Hourly Rate:    $250.00
Flat Fee Rate:    $5000 +
Minimum Fee Charged for Hourly Planning Accounts:    $250.00
 
 
 
Prepared By: Mark Robertson

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