# Maine Advisory Associates

> 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.

- CRD: 311679
- Filed as: MAINE ADVISORY ASSOCIATES
- Legal name: Volk Financial LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Falmouth, ME
- Filing period: October 2026
- Form ADV filing dated: September 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/311679
- AdvisorCensus page: https://advisorcensus.com/firm/maine-advisory-associates-falmouth-me-311679

## Quick answers

**How is Maine Advisory Associates compensated?**
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).

**Where is Maine Advisory Associates located?**
Maine Advisory Associates' principal office is in Falmouth, ME, according to its Form ADV.

**Is Maine Advisory Associates registered with the SEC or a state?**
Maine Advisory Associates is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 311679.

**How much does Maine Advisory Associates manage?**
Maine Advisory Associates reports $116,549,001 in regulatory assets under management in its Form ADV filing dated September 23, 2026 (98% discretionary).

**What types of clients does Maine Advisory Associates serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (143); high net worth individuals (33).

**Which custodians does Maine Advisory Associates use?**
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.

**Does Maine Advisory Associates report any disciplinary disclosures?**
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

**What changed in Maine Advisory Associates' recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated May 14, 2026)

- Minimum annual fee: $5,600

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $116,549,001
- Discretionary: $114,225,226
- Non-discretionary: $2,323,775

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 143 | $50,059,032 |
| High net worth individuals | 33 | $65,295,462 |
| Charitable organizations | Fewer than 5 | $1,194,507 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Other

### Firm details
- Registered since: 2026 (0 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: ME, NH, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- maineadvisory.com

## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

### August 2026
- Registered or notice-filed in TX.

### June 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Maine Advisory Associates (CRD 311679): Form ADV filing data as of October 2026.