AXOS INVEST, INC
Adviser information for AXOS INVEST, INC 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 13 |
| Registered State Investment Advisers | 13 |
| 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 | 18,834 | $143.0M |
| Non-Discretionary | 0 | $0 |
| Total | 18,834 | $143.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 17,074 | $143.0M |
| HNW Individuals | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-79951 |
|---|---|
| SEC ERA File Number | 801-79951 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150953 |
| Legal Entity Identifier | None |
Principal Office
9205 W RUSSELL ROADSUITE 400
LAS VEGAS
NV
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 858-376-6055, Fax: 858-649-2249
Chief Compliance Officer
JEFFREY PLUMMER
15950 WEST DODGE RD
SUITE 300
OMAHA
NE
United States
Tel:
402-384-6150
Fax:
858-649-2249
J**************@**********************M
(Full email address available in API data)
Industry Affiliates
| AXOS CLEARING LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AXOS FINANCIAL, INC | Banking or thrift institution |
| AXOS INVEST LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AXOS NEVADA HOLDING, LLC | Domestic Entity | AXOS SECURITIES, LLC | SHAREHOLDER | 05/2018 | > 75% |
| AXOS FINANCIAL, INC | Domestic Entity | AXOS NEVADA HOLDING, LLC | SHAREHOLDER | 10/2016 | > 75% |
| WALSH, DERRICK | Individual | – | CHIEF FINANCIAL OFFICER | 06/2019 | < 5% |
| AXOS SECURITIES, LLC | Domestic Entity | – | SHAREHOLDER | 07/2020 | > 75% |
| Gallman, Tracy, Lyn | Individual | – | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | 02/2023 | < 5% |
| Plummer, Jeffrey, Kent | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |