Maven Capital, LLC (Charlotte)

Maven Capital, LLC is a large advisory firm based in Charlotte. It manages $99.15 million of regulatory assets for 234 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdiction of North Carolina.

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

Maven Capital: assets under management

The assets under management (AUM) of Maven Capital, LLC is $99.15 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -38% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $99.15 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $423.72 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 96% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Maven Capital, LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Maven Capital serves?

The firm provides services to other investment advisers and high net worth individuals. The largest group of clients of Maven Capital is high net worth individuals with 2 clients and $57.21 million of assets under management. Among the 5 most similar advisory firms, Maven Capital has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $99.15 million for 4 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Maven Capital doesn't advise any private funds.

Careers at Maven Capital, LLC

The company employs 3 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Louis David Dworsky	Managing director	1 Feb 2018	75% - 100%	1689624
Matthew Ashley Swendiman	Chief compliance officer	1 Feb 2018	Other	2849367
Jeffrey Randall Hines	Managing director	1 Feb 2018	50% - 75%	861837
Justin Michael Hines	Managing director	1 Feb 2018	50% - 75%	5065632
Sarah Margaret Westbrook	Chief compliance officer	1 Jan 2019	Other	4751500

Based in Charlotte

The principal office where Maven Capital, LLC performs its advisory services is located at 4201 Congress Street, Charlotte, NC 28209, 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 7049190439. The normal business hours are 8:30am-5pm on Monday - Friday.