Maxim Group is a unique prime broker – the service we provide is on your terms. We pride ourselves on the close relationships we build with our client partners. Our consultative approach to understanding your business needs allows us to offer quality institutional capabilities and a superior level of service at highly competitive rates.

With our full-service capabilities, robust operating model and healthy balance sheet, we are large enough to satisfy your prime brokerage and capital markets needs and boutique enough to really care.

We provide
prime brokerage
services for
multiple client

Hedge Funds

Equity L/S

Fixed Income

Global Macro

Option Volatility

Event Driven

Emerging Markets

Investment Advisors

Active Traders

Family Offices

Sophisticated Investors

‘Liberated’ Fund Managers
former hedge fund professionals managing their own money

High Net Worth
needing institutional tools and/or ability to trade away

Brokerage Offerings

Client Service

Maxim Prime Brokerage clients benefit from high-touch client service delivered by a team of experienced industry professionals, supported by Pershing’s highly scalable and financially safe clearing platform. All clients are fully disclosed clients of Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation. Working with Maxim Prime Brokerage means you get all the service and cost efficiencies of the world’s largest global custodian, with the boutique service enhancing capabilities of the Maxim Prime Brokerage client service team.

Sales & Trading

Equities, Options, Fixed Income and International Desks High Touch SalesTrading Direct Market Access Multiple Access Points

  • Electronic Front-ends: REDI, RealTick & Neovest
  • Bloomberg EMSX
  • Fix connectivity to many other front-ends and systems


​Maxim Prime Brokerage optimizes leverage in line with your financing and asset protection needs.

  • Reg T
  • Portfolio Margin

Securities Lending

  • Access to supply of the world’s largest global custodian Pershing/BNY Mellon
  • Insight into lending flow
  • Fully Paid Lending income opportunities – make money by lending Pershing your stock

Advanced Reporting and Data Delivery

Maxim Prime Brokerage provides a broad range of information delivery options from real-time portfolio management to portfolio accounting reports. We strive to support our clients across their organizational needs via our flexible infrastructure and customizable reporting.

FIS VPM Portfolio Accounting and Reporting

  • Comprehensive, fully integrated and customizable application
  • Over 80 standard and customizable reports are available
  • Multi-asset class
  • Multi-currency
  • Multi-strategy

Pershing NetX – Account Access

  • Online and real-time positions, balances and activities
  • Mobile access
  • Access a broad range of easily customizable reports in PDF, Excel or delimited format

Data Delivery

  • Customized file capabilities
  • Direct Pershing data files where required as best practice
  • Service provider integration

Start-Up and Capital Solutions

At Maxim Group, senior relationship managers work with you to gain an in-depth knowledge of your business model and offer assistance across all your needs.

Business Solutions across:

  • Legal
  • Accounting
  • Fund Administration
  • Marketing
  • Office Space
  • Trading Technology

Capital Solutions
Maxim Prime Brokerage is the exclusive prime brokerage partner of M-Vest, a sister firm of Maxim Group LLC. M-Vest enables issuers to raise money from a broad range of investors through Regulation A and Regulation D offerings using a team of banking professionals and a proprietary online platform.

Brokerage Team

David Miller
Michael Cozzi
Vice President
Anthony Citriniti
Vice President

Ready to start?

Please complete this brief form and we’ll send you an informative document to learn more about how a Prime Broker can help meet your needs.

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