AXIOM FINANCIAL STRATEGIES GROUP, LLC
Adviser information for AXIOM FINANCIAL STRATEGIES GROUP, LLC last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,287 | $346.3M |
| Non-Discretionary | 0 | $0 |
| Total | 1,287 | $346.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,151 | $165.9M |
| HNW Individuals | 52 | $87.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 17 | $1.6M |
| Charitable organizations | <5 | $40.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 8 | $6.1M |
| Other | 55 | $45.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 19 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 346.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AXIOM FINANCIAL STRATEGIES GROUP | AXIOM FINANCIAL STRATEGIES GROUP, LLC |
Identifiers
| SEC RIA File Number | 801-117878 |
|---|---|
| SEC ERA File Number | 801-117878 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306618 |
| Legal Entity Identifier | None |
Principal Office
101 W. SPRING STREET, 5TH FLOORNEW ALBANY
IN
United States
Monday - Friday, 9-5
Tel: 812-913-7701, Fax: 812-913-7702
Chief Compliance Officer
DAVID VAUGHAN SCOTT
101 W SPRING STREET
5TH FLOOR
NEW ALBANY
IN
United States
Tel:
8129137709
V******@***********M
(Full email address available in API data)
Industry Affiliates
| SPRING STREET SOLUTIONS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Grau, Michael, Anthony | Individual | – | PRESIDENT | 11/2019 | < 5% |
| Scott, David, Vaughan | Individual | – | CEO, CHIEF COMPLIANCE OFFICER | 11/2019 | < 5% |
| Scott, David, Vaughan | Individual | NIOTAZE, LLC | SHAREHOLDER | 11/2019 | > 75% |
| Grau, Michael, Anthony | Individual | GRAU FAMILY HOLDINGS LLC | SHAREHOLDER | 10/2020 | > 75% |
| AXIOM FINANCIAL HOLDINGS LLC | Domestic Entity | – | SHAREHOLDER | 11/2019 | > 75% |
| GRAU FAMILY HOLDINGS LLC | Domestic Entity | AXIOM FINANCIAL HOLDINGS LLC | SHAREHOLDER | 11/2019 | 25-50% |
| NIOTAZE, LLC | Domestic Entity | AXIOM FINANCIAL HOLDINGS LLC | SHAREHOLDER | 10/2020 | 25-50% |
| DRIVER, LEAH | Individual | – | CFO | 11/2021 | < 5% |
| MERCHANT WEALTH PARTNERS | Domestic Entity | AXIOM FINANCIAL HOLDINGS LLC | SHAREHOLDER | 10/2020 |