Wealth manager, independent · Falmouth, ME
Maine Advisory Associates
Volk Financial LLC · SEC-registered investment adviser · CRD 311679 · SEC 801-136260
At a glance
Maine Advisory Associates is an SEC-registered investment adviser based in Falmouth, Maine, with $117 million in regulatory assets under management as of its Form ADV filed September 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 176 individual clients. By Form ADV it is a wealth manager, ranked 7,826th of 8,915 wealth managers and 14,866th of 17,210 SEC-registered advisers by assets.
Main office 207-778-2250maineadvisory.comAs filed on Form ADV
- Regulatory AUM
- $117M
- Rank among wealth managers
- #7,826 of 8,915
- Rank among all SEC RIAs
- #14,866 of 17,210
- Rank in Maine
- #30 of 32
- Individual clients
- 176
- High-net-worth clients
- 33
- Accounts
- 529
- Discretionary
- 98% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 2
Owners and executives on its Form ADV
- Kimberly L. VolkPresident, Managing Member, and IAR
- Audra DortchChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 33 | $65M | 56% |
| Individuals | 143 | $50M | 43% |
| Charitable organizations | – | $1M | 1% |
Disciplinary disclosures
Maine Advisory Associates reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗maineadvisory.com ↗
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The full record on Maine Advisory Associates
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 4,701 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Maine Advisory Associates manage?
Maine Advisory Associates reports $117 million in regulatory assets under management across 529 accounts, 98% of it on a discretionary basis, on its Form ADV filed September 23, 2026.
What kind of firm is Maine Advisory Associates?
Maine Advisory Associates is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Maine Advisory Associates’s clients?
By assets, its largest client types are high-net-worth individuals ($65 million, 33 clients); individuals ($50 million, 143 clients); charitable organizations ($1 million).
Does Maine Advisory Associates have any disciplinary history?
Maine Advisory Associates reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Maine Advisory Associates’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →