Maxam Capital Management LLC (Darien)

Maxam Capital Management LLC is a large advisory firm based in Darien. It manages $1.01 billion of regulatory assets for 15 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Connecticut, Michigan, and Washington.

Maxam Capital Management provides portfolio management for pooled investment vehicles, pension consulting services, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Maxam Capital Management: assets under management

The assets under management (AUM) of Maxam Capital Management LLC is $1.01 billion. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $431.8 million in discretionary accounts and $577.17 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $53.98 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $82.45 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Maxam Capital Management LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Maxam Capital Management LLC

Spottswood Payne Dudley has been acting as President since 1 Jul 2005. April Elizabeth Bukofser joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Sandra Lee Manzke	Chief executive officier	1 Apr 2005	75% - 100%	4346607
Spottswood Payne Dudley	Director/chief compliance officer	1 Jul 2005	Other	2976921
Catherine Gilchrist Sweeney	Managing director	1 Oct 2005	Other	4346813
Joseph Anthony Soares	Managing director	1 Oct 2005	Other	2682633
Suzanne Simon Hammond	Managing director	1 Oct 2005	Other	4346811
Rosemary Gilchrist	Managing director	1 Oct 2005	Other	5282629
Arthur J Samberg	Member	1 Nov 2005	Other	409697
Sheila Joan Clancy	Member	1 Nov 2005	Other	4368379
Dartley Family Limited Partnership	Member	1 Nov 2005	Other	06 1442585
Llc Campfire Family	Member	1 Nov 2005	Other	06 1544622
David Wade Jennings	Managing director	1 May 2006	Other	2745995
Richard Anthony Phelan	Chief financial officer	1 Dec 2006	Other	5282587
April Elizabeth Bukofser	Chief compliance officer	1 Jan 2008	Other	4975919

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Peter Dartley	General partner	1 Dec 1995	25% - 50%	4368384
Christopher Alan Dartley	Limited partner	1 Dec 1995	25% - 50%	2385027
Alec Dartley	Limited partner	1 Dec 1995	25% - 50%	5077101
Jeffrey Samberg	Member	1 Jan 1999	25% - 50%	5077098
Laura Samberg	Member	1 Jan 1999	25% - 50%	5077099
Joseph Daniel Samberg	Member	1 Jan 1999	25% - 50%	2352787

Based in Darien

The principal office where Maxam Capital Management LLC performs its advisory services is located at 16 Thorndal Circle 1 St Floor, Darien, CT 06820, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-851-3500 or by fax 203-662-1212. The normal business hours are 9 to 5 on Monday - Friday.