Maxwell Noll Inc (Pasadena)

Name: Maxwell Noll Inc
Address: 600 South Lake Avenue, Pasadena, CA, 91106 3908
Telephone: 626-796-7133

Maxwell Noll Inc is a large advisory firm based in Pasadena. It manages $103.43 million of regulatory assets for 122 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of California.

Maxwell Noll provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Maxwell Noll: assets under management

The assets under management (AUM) of Maxwell Noll Inc is $103.43 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 82% since the beginning of its operation, and $1.21 million of the total AUM is attributable to clients outside of the United States.

The firm manages $103.43 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $847.82 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 81% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 9% of the firm’s portfolio. Investments in investment and business development companies form 7% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Maxwell Noll Inc for their services and products based on a percentage of assets under management. 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.

What kind of clients John Terry Maxwell serves?

The only and largest group of clients of John Terry Maxwell is individuals with 113 clients and $78.21 million of assets under management. Among the 6 most similar advisory firms, Maxwell Noll has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $78.21 million for 113 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Maxwell Noll doesn't advise any private funds.

Careers at Maxwell Noll Inc

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

John Terry Maxwell has been acting as President since 1 Sep 1995. Llc Stonnington Group joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Stonnington Group Llc	Authorized unissued shares (171)	1 Jul 1975	25% - 50%	131221
Sanford Davis Whiting	Director	1 Jul 1988	25% - 50%	xxx-xx-xxxx
Howard Eugene Noll	President, ceo, cfo, coo	1 Sep 1995	25% - 50%	348862
Lynn Elizabeth Kitchen	Vice president, cco	1 Sep 1995	Other	831375
John Terry Maxwell	Director	1 Sep 1995	25% - 50%	323693
Paul Gregory Arthur	Vice president	1 Dec 1999	Other	1708639
Deceased Estate Of John Terry Maxwell	Owner	1 Oct 2002	25% - 50%	99-9999999
Barbara L. Maxwell	Director	1 Apr 2003	25% - 50%	xxx-xx-xxxx
Lynn Elizabeth Kitchen	Shareholder	1 Jan 2005	Other	831375
Paul Gregory Arthur	President	1 Jan 2005	Other	1708639
Christine Elizabeth Saccente	Vice president, cco	1 Jan 2005	Other	1136543
Michael Becker Noll	Vice president	1 Dec 2006	Other	4948799
Sanford David Whiting Ii	Director	1 Dec 2006	Other	xxx-xx-xxxx
Michael Becker Noll	Vice president, secretary, director	1 Sep 2007	Other	4948799
Howard Eugene Noll	Chairman	1 Mar 2010	Other	348862
Lynn Elizabeth Kitchen	Director	1 Mar 2010	Other	831375
Christine Elizabeth Saccente	Secretary, treasurer, chief compliance officer, director	1 Mar 2010	Other	1136543
Michael Becker Noll	President, ceo, cfo, director	1 Mar 2010	Other	4948799
Paul Gregory Arthur	Senior vice president, director	1 Mar 2010	Other	1708639
Christine Elizabeth Saccente	Cco	1 Sep 2010	Other	1136543
Llc Stonnington Group	Shareholder	1 May 2019	75% - 100%	131221

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Nicholas Henry H Stonnington	President	1 Apr 2019	75% - 100%	1090046

Based in Pasadena

The principal office where Maxwell Noll Inc performs its advisory services is located at 600 South Lake Avenue, Pasadena, CA 91106 3908, 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 626-796-7133 or by fax 626-796-5834. The normal business hours are 8:00 to 4:00 pacific on Monday - Friday. You can find more information about the New York firm at maxnoll.com and its LinkedIn profile.