David C. Maxwell

ARISTOTLE CAPITAL MANAGEMENT

ATLANTA, GA

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CRD#: 1796332

Professional summary

David Craighead Maxwell, CFP®, who also goes by Craig Maxwell, is a registered financial advisor currently at ARISTOTLE CAPITAL MANAGEMENT, LLC located in Atlanta, Georgia and FORESIDE FINANCIAL SERVICES, LLC located in Newport Beach, California.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig Maxwell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Aristotle Capital Management, LLC; Atlanta, GA; Investment Related; Began 09/05/2017; Investment Management; Senior Vice President Marketing; Marketing; 200 hours per month all during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Craighead Maxwell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 18, 2018 - Present

ARISTOTLE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109876

ATLANTA, GA

Current

October 6, 2023 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 840 Newport Center Drive Suite 700, Newport Beach, CA 92660

CRD#: 148477

Newport Beach, CA

Past

December 12, 2017 - October 24, 2023

IMST DISTRIBUTORS, LLC

CRD#: 130745

PORTLAND, ME

Past

August 13, 2012 - October 26, 2017

CORNERSTONE INVESTMENT PARTNERS, LLC

RIA

CRD#: 111753

ATLANTA, GA

Past

November 30, 2009 - August 31, 2011

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

March 26, 2007 - August 31, 2011

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

June 4, 1993 - March 26, 2007

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

CRD#: 27884

SAN MATEO, CA

Past

October 31, 1991 - May 21, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/26/2023)

Arkansas
(10/26/2023)

IAR

California
(5/18/2018)

Florida
(10/25/2023)

IAR

Georgia
(6/1/2018)

Georgia
(10/26/2023)

Kentucky
(10/27/2023)

Louisiana
(10/27/2023)

Maryland
(10/26/2023)

Mississippi
(10/27/2023)

North Carolina
(10/25/2023)

Oklahoma
(10/30/2023)

Puerto Rico
(11/7/2023)

South Carolina
(10/31/2023)

Tennessee
(3/20/2024)

Texas
(10/25/2023)

Virgin Islands
(10/31/2023)

Virginia
(10/26/2023)

West Virginia
(10/26/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/22/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/11/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 Approved)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449

Mailing Address

Phone number

(310) 478-4005

Established

Firm type

Fiscal year end

# of Employees

156

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACM FORM ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	5,904
AUM (Assets Under Management)	$ 43,833,669,241

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David C. Maxwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Craighead Maxwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

IMST DISTRIBUTORS, LLC

CORNERSTONE INVESTMENT PARTNERS, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

ARISTOTLE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/22/2018

Series 65

Date: 11/11/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/3/1991

FINRA

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARISTOTLE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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