AXIOM ASSET MANAGEMENT
WEALTHTRUST AXIOM, LLC Legal Name
Adviser information for AXIOM ASSET MANAGEMENT last updated from Form ADV on March 27th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 426 | $581.6M |
| Non-Discretionary | 186 | $146.6M |
| Total | 612 | $728.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 422 | $98.7M |
| HNW Individuals | 181 | $621.5M |
| 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 | 9 | $8.0M |
| 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 | 612 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-68405 |
|---|---|
| SEC ERA File Number | 801-68405 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145186 |
| Legal Entity Identifier | None |
Principal Office
550 E SWEDESFORD RDSUITE 110
WAYNE
PA
United States
Monday - Friday, BY APPT ONLY
Tel: 610-688-0050, Fax: 610-688-0075
Websites
Chief Compliance Officer
DAVID J WEBSTER
INVESTMENT ADVISER REPRESENTATIVE
550 E SWEDESFORD RD
SUITE 110
WAYNE
PA
United States
Tel:
610-688-0050
Fax:
610-688-0075
D*******@*************M
(Full email address available in API data)
Regulatory Contact
MICHAEL HEABERG
MANAGING DIRECTOR
550 E SWEDESFORD RD
SUITE 110
WAYNE
PA
United States
Tel:
6106880050
Fax:
6106880075
M*******@*************M
(Full email address available in API data)
Industry Affiliates
| DELTA ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| DUNCKER STREETT & CO. | Other investment adviser, including financial planners |
| GRANT TANI BARASH & ALTMAN, LLC | Other investment adviser, including financial planners |
| HARVEY INVESTMENT COMPANY, LLC | Other investment adviser, including financial planners |
| HIGHTOWER ADVISORS, LLC | Other investment adviser, including financial planners |
| HIGHTOWER SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| HIGHTOWER TRUST SERVICES LTA | Trust company |
| KANAWHA CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| MADISON AVENUE SOLUTIONS, LLC | Other investment adviser, including financial planners |
| THE RIKOON GROUP, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MATT, ALBERT, CHAPEL | Individual | – | PRESIDENT/MANAGING DIRECTOR | 10/2007 | 10-25% |
| LOREAUX, ROBERT, WILLIAM | Individual | – | EXECUTIVE VICE PRESIDENT | 10/2007 | 10-25% |
| HEABERG, MICHAEL, CAMPBELL | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2007 | 10-25% |
| ROSE, CRAIG, ALAN | Individual | – | MANAGING DIRECTOR | 04/2015 | < 5% |
| WEALTHTRUST LLC | Domestic Entity | – | OWNER | 09/2007 | 50-75% |
| HIGHTOWER HOLDING LLC | Domestic Entity | WEALTHTRUST LLC | OWNER | 05/2017 | > 75% |
| THL EQUITY FUND VII INVESTORS LLC | Foreign Entity | HIGHTOWER HOLDING LLC | OWNER | 01/2018 | 50-75% |
| BERG, DANIEL, JEREMY | Individual | – | DIRECTOR OF FINANCE | 03/2019 | < 5% |
| WEBSTER, DAVID, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2020 | < 5% |
| BOYLE, JOHN, THOMAS | Individual | – | TITLE PRINCIPAL | 09/2021 | < 5% |