AXIA ADVISORY
AXIA ADVISORY CORP Legal Name
Adviser information for AXIA ADVISORY last updated from Form ADV on March 15th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 138 | $986.1M |
| Non-Discretionary | 43 | $530.4M |
| Total | 181 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 85 | $40.0M |
| HNW Individuals | 58 | $257.4M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $286.5M |
| Pension and profit sharing plans | 25 | $783.3M |
| Charitable organizations | <5 | $37.0M |
| State or municipal gov entities | 8 | $110.7M |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $1.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-42110 |
|---|---|
| SEC ERA File Number | 801-42110 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107571 |
| Legal Entity Identifier | None |
Principal Office
20 E. 91ST STSTE 202
INDIANAPOLIS
IN
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 317-630-2800, Fax: None
Chief Compliance Officer
LAURA M PERRY
VP OPERATIONS
20 E. 91ST ST
STE 202
INDIANAPOLIS
IN
United States
Tel:
317-829-5888
Fax:
317-708-7751
L*****@***************M
(Full email address available in API data)
Regulatory Contact
KEITH L. SHADRICK
PRESIDENT
20 E. 91ST STREET
SUITE 202
INDIANAPOLIS
IN
United States
Tel:
317-630-2800
Fax:
317-708-7752
K********@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PERRY, LAURA, MAXWELL | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2004 | < 5% |
| SHADRICK, KEITH, LAWRENCE | Individual | – | PRESIDENT | 06/1992 | > 75% |