AdvisorCensus / Financial advisors / North Carolina / Winston-Salem / Semmax Financial Advisors, Inc.
Semmax Financial Advisors, Inc. is an SEC-registered investment advisory firm in Winston-Salem, NC, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.
Quick answers
From the filingHow is Semmax Financial Advisors, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Semmax Financial Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
What does Semmax Financial Advisors, Inc.'s brochure say about its fees?
Its Form ADV Part 2A brochure dated March 24, 2026 states: Up to $2,000,000: 1.5% a year; $2,000,001 to $4,000,000: 1.25% a year; Above $4,000,000: 1% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Semmax Financial Advisors, Inc. located?
Semmax Financial Advisors, Inc.'s principal office is in Winston-Salem, NC, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Semmax Financial Advisors, Inc. registered with the SEC or a state?
Semmax Financial Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 144978.
How much does Semmax Financial Advisors, Inc. manage?
Semmax Financial Advisors, Inc. reports $495,360,847 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (100% discretionary).
How have Semmax Financial Advisors, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Semmax Financial Advisors, Inc.: Regulatory assets under management: $285,164,364 in the October 2021 data and $495,360,847 in the October 2026 data, up 74%. Total employees: 18 in October 2021 and 18 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Semmax Financial Advisors, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (749); high net worth individuals (77).
Which custodians does Semmax Financial Advisors, Inc. use?
Semmax Financial Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.
Does Semmax Financial Advisors, Inc. 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/144978
Does Semmax Financial Advisors, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 24, 2026 says: "Semmax Financial has a minimum account size of $50,000.00 for opening or maintaining an account unless an exception is approved by appropriate officers of the Firm."
What changed in Semmax Financial Advisors, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $395,263,541 to $495,360,847 (+25%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $2,000,000 | 1.5% |
| $2,000,001 to $4,000,000 | 1.25% |
| Above $4,000,000 | 1% |
The brochure's wording
The Advisory Fee structure for Semmax Financial is as follows: Assets under Management Annual Fee Quarterly Fee Up to $2,000,000 1.50% 0.375% $2,000,001 - $4,000,000 1.25% 0.3125% Over $4,000,000 1.00% 0.250%
Account minimum: $50,000 (the brochure says it may be waived or negotiated)
The brochure's wording
Semmax Financial has a minimum account size of $50,000.00 for opening or maintaining an account unless an exception is approved by appropriate officers of the Firm.
As stated in the firm's Form ADV Part 2A brochure dated March 24, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$495,360,847 as of October 2026, filing dated March 24, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
Registration and firm details
Items 1, 2, 5- Also doing business as
- SEMMAX FINANCIAL GROUP, INC.
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2017 (9 years)
- Employees
- Total: 18. Performing investment advisory functions: 7.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the April 2026 filing
- States registered or notice-filed
-
7 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $495,360,847 | 18 | March 24, 2026 |
| October 2025 | $395,263,541 | 18 | March 21, 2025 |
| October 2024 | $333,212,892 | 18 | March 28, 2024 |
| October 2023 | $290,976,243 | 19 | March 30, 2023 |
| October 2022 | $185,845,038 | 18 | March 31, 2022 |
| October 2021 | $285,164,364 | 18 | September 17, 2021 |
Regulatory assets under management: $285,164,364 in the October 2021 data and $495,360,847 in the October 2026 data, up 74%.
Total employees: 18 in October 2021 and 18 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $395,263,541 to $495,360,847 (+25%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Semmax Financial Advisors, Inc. (CRD 144978): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/semmax-financial-advisors-inc-winston-salem-nc-144978