{
  "crd_number": 311679,
  "slug": "maine-advisory-associates-falmouth-me-311679",
  "primary_business_name": "MAINE ADVISORY ASSOCIATES",
  "legal_name": "VOLK FINANCIAL LLC",
  "dbas": [],
  "city": "Falmouth",
  "state": "ME",
  "country": "United States",
  "cbsa_code": "38860",
  "metro": {
    "cbsa_code": "38860",
    "common_name": "Portland",
    "msa_name": "Portland-South Portland, ME",
    "path": "/advisors/me/portland"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2026-05-14",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-09-23",
  "carried_forward": false,
  "raum_total": 116549001.0,
  "raum_discretionary": 114225226.0,
  "raum_non_discretionary": 2323775.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 3,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 1194507.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 50059032.0,
      "count": 143
    },
    "high_net_worth_individuals": {
      "raum": 65295462.0,
      "count": 33
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "ME",
    "NH",
    "TX"
  ],
  "websites": [
    "https://maineadvisory.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/311679",
  "city_as_filed": "FALMOUTH",
  "url": "https://advisorcensus.com/firm/maine-advisory-associates-falmouth-me-311679",
  "display_name": "Maine Advisory Associates",
  "summary": "Maine Advisory Associates is an SEC-registered investment advisory firm in Falmouth, ME, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 23, 2026.",
  "citation": "AdvisorCensus. Maine Advisory Associates (CRD 311679): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Maine Advisory Associates compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Maine Advisory Associates reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Maine Advisory Associates located?",
      "a": "Maine Advisory Associates' principal office is in Falmouth, ME, according to its Form ADV."
    },
    {
      "q": "Is Maine Advisory Associates registered with the SEC or a state?",
      "a": "Maine Advisory Associates is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 311679."
    },
    {
      "q": "How much does Maine Advisory Associates manage?",
      "a": "Maine Advisory Associates reports $116,549,001 in regulatory assets under management in its Form ADV filing dated September 23, 2026 (98% discretionary)."
    },
    {
      "q": "What types of clients does Maine Advisory Associates serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (143); high net worth individuals (33)."
    },
    {
      "q": "Which custodians does Maine Advisory Associates use?",
      "a": "Maine Advisory Associates' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Maine Advisory Associates report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/311679"
    },
    {
      "q": "What changed in Maine Advisory Associates' recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Registered or notice-filed in TX."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated May 14, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": "$5,600",
    "figures": [
      {
        "label": "Minimum annual fee",
        "statements": [
          "Minimum annual fee: $5,600"
        ],
        "quotes": [
          "For new clients, the minimum annual advisory fee per account is $ 5,600 for individuals and institutional clients, but at no time will MAA’s fee exceed 2.0% annually."
        ]
      }
    ],
    "quotes": [
      "For new clients, the minimum annual advisory fee per account is $ 5,600 for individuals and institutional clients, but at no time will MAA’s fee exceed 2.0% annually."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/maine-advisory-associates-falmouth-me-311679.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 143,
      "fewer_than_5": false,
      "raum": 50059032.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 33,
      "fewer_than_5": false,
      "raum": 65295462.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 1194507.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/311679",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}