{"url":"https://nivawealth.com/firms/maxq-asset-management-336560","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/336560","regulatoryAum":407749700,"crd":"336560","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5149417","suffix":null,"lastName":"KLINGHOFFER","firstName":"JASON","middleName":"C"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-06-05","regulatoryAum":0,"clients":0,"employees":1,"offices":1},{"filedOn":"2026-03-16","regulatoryAum":407749700,"clients":1,"employees":1,"offices":1}],"secFileNumber":"801-132926","legalName":"Maxq Asset Management LLC","displayName":"MaxQ Asset Management","slug":"maxq-asset-management-336560","website":"https://maxqam.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/336560/f4735f3134a2118d-r1.webp","tone":"light","width":771,"height":200,"sourceUrl":"https://maxqam.com/","sourceLabel":"Maxq Asset Management LLC, website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"6400 S Fiddlers Green Circle, Suite 300","city":"Greenwood Village","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80111"},"tradeNames":[],"registration":{"secApproved":"4 June 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":1,"advisory":1,"brokerDealerReps":1,"insuranceAgents":1,"promoters":1},"aum":{"regulatory":407749700,"discretionary":407749700,"discretionaryAccounts":1,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"High-net-worth individuals","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Banking or thrift institutions","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Pension and profit-sharing plans","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Charitable organizations","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"State or municipal government entities","clients":1,"fewerThan5":true,"regulatoryAum":407749700},{"label":"Other investment advisers","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Insurance companies","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Sovereign wealth funds and foreign official institutions","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Corporations and other businesses","clients":0,"fewerThan5":true,"regulatoryAum":0}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Principal Bank","shortName":"Principal Bank","location":"Des Moines, IA","smaAssets":365196490}],"custodyNote":"MaxQ Asset Management has custody of $408M in client assets for 1 client.","otherCustodians":[],"leadership":[{"name":"Jason Klinghoffer","title":"Chief Executive Officer & Chief Compliance Officer","crd":"5149417"}],"ownership":[{"label":"Jason Klinghoffer","detail":"Chief executive officer & chief compliance officer in the 75% or more ownership band and a control person, since May 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"6400 S Fiddlers Green Circle, Suite 300","city":"Greenwood Village","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"720-452-2343","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"U.S. government/agency bonds","percent":58},{"label":"Investment grade corporate bonds","percent":26},{"label":"Cash and cash equivalents","percent":16}],"privateFunds":0},"sources":{"adv1FilingDate":"16 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/336560/PDF/336560.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does MaxQ Asset Management have?","answer":"MaxQ Asset Management has 1 client and manages $408 million for them, as of March 2026. They include 1 state or municipal government entity.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does MaxQ Asset Management offer?","answer":"MaxQ Asset Management provides financial planning and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does MaxQ Asset Management use?","answer":"MaxQ Asset Management’s separately managed account assets are held at Principal Bank (Des Moines, IA), with $365M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does MaxQ Asset Management have?","answer":"MaxQ Asset Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does MaxQ Asset Management invest in?","answer":"At the end of its last fiscal year, MaxQ Asset Management’s separately managed accounts held 58% U.S. government and agency bonds, 26% investment grade corporate bonds and 16% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns MaxQ Asset Management?","answer":"MaxQ Asset Management’s direct owner is Jason Klinghoffer (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does MaxQ Asset Management get paid?","answer":"MaxQ Asset Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact MaxQ Asset Management?","answer":"MaxQ Asset Management’s main office is at 6400 S Fiddlers Green Circle, Suite 300, Greenwood Village, CO 80111. Its phone number is 720-452-2343. Its website is maxqam.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}