Prime
Brokerage
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
segments.
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
needing institutional tools and/or ability to trade away
Prime
Brokerage Offerings
Client Service
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
Financing
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.
Prime
Brokerage Team

Managing Director
Head of Prime Brokerage Services
Seth brings over twenty eight years of experience in prime
brokerage and equity finance to his position of Head of Prime Brokerage at
Maxim Group.
Seth joined Maxim in 2013 from JonesTrading where he was Head of Advisor Services. Prior to JonesTrading, Seth had been with Barclays Capital (formerly Lehman Brothers) for over seven years in a number of senior roles including Global Business Architect for the Equity Finance business, and for Lehman Brothers, had managed Neuberger Berman Clearing Services which provided execution, reporting, custody and clearing services to correspondent broker dealers, registered investment advisors and hedge funds. Seth began his career at Goldman Sachs where he was a client service representative and a key member of the firm’s prime brokerage strategic technology initiative.
Seth has a Master of Science in Industrial Administration (MBA)
from Carnegie Mellon University and a Bachelor of Science degree from Union
College. Seth has two adult children and resides in Jupiter, Florida.

Seth Michaels
Managing Director

Director
Prime Brokerage Services
David brings over twenty five years of experience in prime brokerage and equity finance to his position. David joined Maxim in 2019 from Wells Fargo Prime Brokerage, where he was a senior relationship manager, covering clients from his time at Merlin Securities as well as new relationships.
Prior to Merlin, David had a 16 year career at Goldman Sachs where held many senior level roles including head of client services for Goldman Sachs Execution & Clearing, product development manager and client services team leader at Goldman Sachs prime brokerage.
David has a Master of Business Administration from Fordham University and a Bachelor of Science degree from State University of New York at Albany. David resides in Roslyn, New York with his wife and two children.

David Miller
Director

Vice President
Prime Brokerage Services
Dmitriy brings almost twenty years of experience in prime brokerage, operations and trading to his position. He joined Maxim two years ago from Steinberg Asset Management, where he worked for eight years as a head of operations and co-manager of the trading desk.
Prior to Steinberg Asset Management, Dmitriy worked at Lehman Brothers as a prime brokerage client service representative covering hedge funds. Dmitriy joined Lehman from Neuberger Berman where during his seven year career he covered hedge funds and investment advisors as a client service representative, supervised a portfolio reconciliation and performance group and was a key member of the portfolio reporting department.
Dmitriy attended courses at New York University. Dmitriy lives in Staten Island, New York with his wife and has two children.

Dmitriy Kovalev
Vice President

Vice President
Prime Brokerage Services
Michael brings over 24 years of experience in securities trading and operations management to his position.
Michael joined Maxim in 2018 from Gilbert, Doniger Company, a brokerage firm in Manhattan, where he was a securities trader.
Michael has a Master of Business Administration from Baruch College, City University of New York, and a Bachelor of Arts from Montclair State University. Michael resides in Nutley, New Jersey with his wife and two children.

Michael Cozzi
Vice President

Vice President
Prime Brokerage Business Development
Anthony brings seven years of experience in the financial markets to his role with the Prime Brokerage Team. Having started his career with HSBC Capital Markets he has experience covering and working with institutional clients of all sizes. He joined Maxim Group three years ago and since has played an integral part of the firm’s business development within its Capital Markets platform, working with family offices, hedge funds, and other institutional investors.
Anthony graduated with a Bachelors of Business Administration from the University of Wisconsin’s business school, where he majored in Finance, Investment and Banking. He is a native New Yorker and currently lives in Manhattan.

Anthony Citriniti
Vice President
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