SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Axiom Investment Management LLC
New York, NY
CRD 141516
Firm filing updated April 15, 2026 ·
- $236.8MAssets
- 4Advisory staff
- 214Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals201
- Corporations or other businesses11
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 201 | $176.9 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $4.7 million |
| Charitable organizations | Fewer than 5 clients | $817,709 |
| Corporations or other businesses not listed above | 11 | $54.3 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$236.8 million
- Accounts214
- DiscretionaryAll accounts
People
- Employees10
- Advisory staff4
- Broker-dealer reps9
- Licensed insurance agents1
Registration details
- SEC-registered investment advisor. CRD 141516, SEC file 801-67131.
- Registered with the SEC as an investment advisor (status date on record: August 24, 2006).
Is Axiom Investment Management LLC a fiduciary?
Short answer: Axiom Investment Management LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 9 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
1 staff member is a licensed insurance agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.