# Waxman Financial

> Waxman Financial is a state-registered investment advisory firm, registered since 2000, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 141543
- Filed as: WAXMAN FINANCIAL
- Legal name: Jeffrey B. Waxman, Inc.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Florida
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/141543
- AdvisorCensus page: https://advisorcensus.com/firm/waxman-financial-141543

## Quick answers

**How is Waxman Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Waxman Financial reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Waxman Financial registered with the SEC or a state?**
Waxman Financial is a state-registered investment advisory firm, registered since 2000. Status as filed: APPROVED. CRD 141543.

**How much does Waxman Financial manage?**
Waxman Financial reports $28,983,786 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**What types of clients does Waxman Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (27); high net worth individuals (13).

**Does Waxman Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/141543

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $28,983,786
- Discretionary: $28,983,786
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 27 | $4,225,767 |
| High net worth individuals | 13 | $24,758,019 |

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

### Firm details
- Registered since: 2000 (26 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Waxman Financial (CRD 141543): Form ADV filing data as of October 2026.