Waxman Financial

Overview

Waxman Financial is a small, independent registered investment adviser focused on serving individuals and families, along with a subset of small-business clients. The firm runs fee-based planning and discretionary portfolio management, charging on a percentage-of-AUM basis as well as offering hourly and fixed-fee engagements. Its investment posture is equity-first: exchange-traded equities make up the dominant share of assets, while mutual funds and targeted allocations to third‑party alternative managers round out portfolios. Investment activity centers on liquid, exchange-traded instruments for core exposures, with discretionary management the primary operating mode. The firm does not position itself as an ESG-focused manager and operates from a single-state footprint. Where the firm uses alternatives, it outsources through external fund managers rather than acting as an in-house capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices