{"url":"https://nivawealth.com/firms/semmax-financial-advisors-144978","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/144978","regulatoryAum":495360847,"crd":"144978","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6844151","suffix":null,"lastName":"Landon","firstName":"Matthew","middleName":"Jeremiah"},{"crd":"6312308","suffix":null,"lastName":"LEONARD","firstName":"KYLE","middleName":"ADAM"},{"crd":"2456744","suffix":null,"lastName":"Sellers","firstName":"Michael","middleName":"Andrew"},{"crd":"6983240","suffix":null,"lastName":"Shinsky","firstName":"Jordan","middleName":"Francis"},{"crd":"5558074","suffix":null,"lastName":"SHORT","firstName":"JONATHAN","middleName":"PHILIP"},{"crd":"7226807","suffix":null,"lastName":"Snodgress","firstName":"Marcus","middleName":"Duncan"},{"crd":"5406254","suffix":"JR.","lastName":"TYNER","firstName":"JOHN","middleName":"ELLIS"},{"crd":"7238742","suffix":null,"lastName":"VANLANDINGHAM","firstName":"LAWRENCE","middleName":"DAVID"}],"total":8,"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":"2021-06-03","regulatoryAum":285164364,"clients":534,"employees":18,"offices":2},{"filedOn":"2022-03-31","regulatoryAum":185845038,"clients":844,"employees":18,"offices":2},{"filedOn":"2023-03-30","regulatoryAum":290976243,"clients":760,"employees":19,"offices":2},{"filedOn":"2024-03-28","regulatoryAum":333212892,"clients":880,"employees":18,"offices":2},{"filedOn":"2025-03-21","regulatoryAum":395263541,"clients":778,"employees":18,"offices":2},{"filedOn":"2026-03-24","regulatoryAum":495360847,"clients":826,"employees":18,"offices":2}],"secFileNumber":"801-110932","legalName":"Semmax Financial Advisors, Inc.","displayName":"Semmax Financial Advisors","slug":"semmax-financial-advisors-144978","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/semmax-financial-group/about/","founded":null,"organization":"North Carolina corporation","fiscalYearEnd":"December","headquarters":{"street":"1447 Trade Mart BLVD","city":"Winston-Salem","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"27127"},"tradeNames":["Semmax Financial Group, Inc."],"registration":{"secApproved":"1 August 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2A","fee_rate_low":1,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":50000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Review and Consulting","summary":"Stand-alone financial review or consulting is billed at a negotiated fixed fee or an hourly fee of up to $300.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024718","versionId":1024718,"submittedOn":"2026-03-24","documentName":"SEMMAX ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:16:54.140421+00:00","documents":[{"name":"SEMMAX ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024718","versionId":1024718,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Covington, KY","smaAssets":482759271}],"custodyNote":"Semmax Financial Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Tyner","title":"President","crd":"5406254"},{"name":"Jonathan Short","title":"Chief Compliance Officer","crd":"5558074"}],"ownership":[{"label":"John Tyner","detail":"President in the 75% or more ownership band and a control person, since August 2007."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":2,"addresses":[{"street":"1447 Trade Mart BLVD","city":"Winston-Salem","headquarters":true},{"street":"2300 W Meadowview RD","city":"Greensboro"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"336-856-0080","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Educational seminars/workshops","Other"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":33},{"label":"Non-exchange-traded equity securities","percent":51},{"label":"U.S. government/agency bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":7},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/144978/PDF/144978.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024718","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Semmax Financial Advisors have?","answer":"Semmax Financial Advisors has 826 clients and manages $495 million for them, as of March 2026. They include 749 individual clients and 77 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Semmax Financial Advisors offer?","answer":"Semmax Financial Advisors provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Semmax Financial Advisors charge?","answer":"Semmax Financial Advisors charges 1.00%–1.50% a year for its Advisory Fee. The fee is billed in advance, is negotiable and requires an account of at least $50,000.","source":"SEMMAX ADV PART 2A, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Semmax Financial Advisors use?","answer":"Semmax Financial Advisors’ separately managed account assets are held at Fidelity Brokerage Services LLC (Covington, KY), with $483M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Semmax Financial Advisors have?","answer":"Semmax Financial Advisors has 7 investment adviser representatives registered with state securities authorities, out of 18 employees, and 7 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.","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 Semmax Financial Advisors invest in?","answer":"At the end of its last fiscal year, Semmax Financial Advisors’ separately managed accounts held 51% non-exchange-traded equities, 33% exchange-traded equities, 7% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 3% U.S. government and agency bonds and 2% pooled vehicles (private funds and similar).","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":"Does Semmax Financial Advisors have a minimum investment?","answer":"Yes, Semmax Financial Advisors’ minimum account size for its Advisory Fee is $50K.","source":"SEMMAX ADV PART 2A, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Semmax Financial Advisors?","answer":"Semmax Financial Advisors’ direct owner is John Tyner (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Semmax Financial Advisors get paid?","answer":"Semmax Financial Advisors is paid through a percentage of assets under management, hourly charges 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 Semmax Financial Advisors?","answer":"Semmax Financial Advisors’ main office is at 1447 Trade Mart BLVD, Winston-Salem, NC 27127. Its phone number is 336-856-0080.","source":"Form ADV Part 1A, Item 1.F, filed 24 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."}