AXIM PLANNING & WEALTH
AXIM WEALTH MANAGEMENT LLC Legal Name
Adviser information for AXIM PLANNING & WEALTH last updated from Form ADV on March 25th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 504 | $129.3M |
| Non-Discretionary | 0 | $0 |
| Total | 504 | $129.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 181 | $62.2M |
| HNW Individuals | 36 | $67.1M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Principal Office
4 SYCAMORE CREEK DRIVESPRINGBORO
OH
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 937-291-2060, Fax: None
Websites
Chief Compliance Officer
GISELLE CASELLA
4 SYCAMORE CREEK DRIVE
SPRINGBORO
OH
United States
Tel:
941-786-4482
G******@*************M
(Full email address available in API data)
Regulatory Contact
MATT JADWISIAK
INVESTMENT ADVISOR REPRESENTATIVE
4 SYCAMORE CREEK DRIVE
SPRINGBORO
OH
United States
Tel:
513-292-5778
M****@*************M
(Full email address available in API data)
Industry Affiliates
| AXIM INSURANCE LLC | Insurance company or agency |
| JADWISIAK FINANCE 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 |
|---|---|---|---|---|---|
| Pham, Luong | Individual | – | MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 03/2022 | > 75% |
| CASELLA, GISELLE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 29th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALPHABET INC | CAP STK CL A | 203K | 1K | – |
| AMAZON COM INC | COM | 231K | 1K | – |
| APPLE INC | COM | 203K | 966 | – |
| BLACKROCK ETF TRUST | US EQT FACTOR | 243K | 5K | – |
| CARNIVAL CORP | UNIT 99/99/9999 | 5M | 266K | – |
| CATERPILLAR INC | COM | 266K | 800 | – |
| EHANG HLDGS LTD | ADS | 64M | 5M | – |
| ETF SER SOLUTIONS | APTUS COLLRD INV | 341K | 9K | – |
| ETF SER SOLUTIONS | APTUS DRAWDOWN | 310K | 7K | – |
| EXXON MOBIL CORP | COM | 302K | 3K | – |
| HANCOCK JOHN PFD INCOME FD I | COM | 6M | 368K | – |
| ISHARES TR | CORE S&P500 ETF | 255K | 466 | – |
| ISHARES TR | MSCI USA QLT FCT | 364K | 2K | – |
| ISHARES TR | S&P 500 GRWT ETF | 291K | 3K | – |
| JPMORGAN CHASE & CO | COM | 386K | 2K | – |
| LCNB CORP | COM | 160K | 12K | – |
| META PLATFORMS INC | CL A | 203K | 403 | – |
| MICROSOFT CORP | COM | 1M | 3K | – |
| MONDELEZ INTL INC | CL A | 286K | 4K | – |
| NIO INC | SPON ADS | 58K | 14K | – |
| PHILIP MORRIS INTL INC | COM | 413K | 4K | – |
| PIMCO ETF TR | ACTIVE BD ETF | 339K | 4K | – |
| PROCTER AND GAMBLE CO | COM | 1M | 7K | – |
| SOFI TECHNOLOGIES INC | COM | 243K | 37K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 287K | 3K | – |
| STARBUCKS CORP | COM | 273K | 4K | – |
| US BANCORP DEL | COM NEW | 612K | 15K | – |