Maxwell C. Fogel

FOGEL CAPITAL MANAGEMENT

Stuart, FL 34994

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CRD#: 7163874

Professional summary

Maxwell Charles Fogel is a registered financial advisor currently at FOGEL CAPITAL MANAGEMENT INC located in Stuart, Florida.

Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Maxwell has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Madison Alley/not investment related/45 Rockefeller Plaza, 20th Floor, New York, NY 10111/Advisory on M&A transactions/Senior Analyst/3-28-2022 start date/300 hours per month/6.5 hours during trading hours/Analyst advising on M&A transactions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell Charles Fogel'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®

None

Experience

Current

March 13, 2023 - Present

FOGEL CAPITAL MANAGEMENT INC

Office #1: 453 Riverside Drive, Stuart, FL 34994

RIA

CRD#: 108212

Stuart, FL

Past

May 18, 2022 - August 12, 2022

MAGV SECURITIES, INC.

CRD#: 142082

JERSEY CITY, NJ

Past

July 21, 2021 - March 4, 2022

CANACCORD GENUITY LLC

CRD#: 1020

New York, NY

Past

January 8, 2020 - March 3, 2020

MAXIM GROUP LLC

CRD#: 120708

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".

FOGEL CAPITAL MANAGEMENT INC

FOGEL CAPITAL MANAGEMENT INC | FOGEL MANAGEMENT GROUP, LLC (RELYING ADVISER)

CRD#: 108212 / SEC#: 801-49135

RIA

Registered Investment Advisory firm - (5/31/1995 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.

Highlighted states indicate IAR registrations

IAR

Florida
(3/30/2023)

IAR

New Jersey
(3/15/2023)

IAR

New York
(3/13/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/11/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/8/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/23/2019

Securities Industry Essentials Examination

Current Firm

FOGEL CAPITAL MANAGEMENT INC

FOGEL CAPITAL MANAGEMENT INC | FOGEL MANAGEMENT GROUP, LLC (RELYING ADVISER)

CRD#: 108212 / SEC#: 801-49135

RIA

Registered Investment Advisory firm - (5/31/1995 Approved)

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Contact information

Main Address

453 Riverside Drive, Stuart, FL 34994

Mailing Address

Phone number

(772) 223-9686

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 A 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	468
AUM (Assets Under Management)	$ 390,700,000

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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Advisor Monitoring

Firm Stability Insights

Maxwell C. Fogel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell Charles Fogel's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAGV SECURITIES, INC.

CANACCORD GENUITY LLC

MAXIM GROUP LLC

Primary Firm SEC Registration

FOGEL CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2023

Series 63

Date: 9/29/2021

Series 7TO

Date: 1/8/2020

SIE

Date: 10/23/2019

Current Firm

FOGEL CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOGEL CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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