Axiom Investment Management LLC (New York)

Axiom Investment Management LLC is a large advisory firm based in New York. It manages $794.03 million of regulatory assets for 2,643 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Arkansas, California, Colorado, and 26 other states.

Axiom Investment Management provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Axiom Investment Management: assets under management

The assets under management (AUM) of Axiom Investment Management LLC is $794.03 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1257% since the beginning of its operation, and $7.65 million of the total AUM is attributable to clients outside of the United States.

The firm manages $794.03 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $300.43 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 70% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 15% of the firm’s portfolio. Investments in state and local bonds form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Axiom Investment Management LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Axiom Investment Management serves?

The firm provides services to charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Axiom Investment Management is high net worth individuals with 2,620 clients and $750.33 million of assets under management. Among the 11 most similar advisory firms, Axiom Investment Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $794.03 million for 2,643 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Axiom Investment Management doesn't advise any private funds.

Careers at Axiom Investment Management LLC

The company employs 14 people that are either part- or full-time employees. 86 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Liam Francis Dalton	Managing member, chairman	1 Aug 2006	75% - 100%	1327801
William Maksudian	Comptroller	1 Aug 2006	Other	1465396
Mark David Martino	Ceo, managing member	1 Aug 2006	25% - 50%	1010228
Maria Wilson	Chief compliance officer	1 Aug 2006	Other	1751312
Maria (Nmn) Wilson	Chief compliance officer	1 Aug 2006	Other	1751312
Eric Lee Miller	Chief compliance officer	1 Jan 2011	Other	2200698
Maria Dichiara	Director of operations	1 Jan 2013	Other	1751312

Based in New York

The principal office where Axiom Investment Management LLC performs its advisory services is located at 350 Fifth Avenue, New York, NY 10118, which is also the mailing address of the firm. An additional office of the firm is in Salt Lake City, UT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-521-3800 or by fax 212-521-3869. The normal business hours are 9:00 am - 4:30 pm on Monday - Friday.