A
Axiom Investment Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$176,878,873
This total excludes 13 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
201
100% high-net worth
Advisors
1
of 10 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
201
Very HighAverage account size
$879,994
About
Axiom Investment Management provides discretionary asset allocation and investment management primarily to high‑net‑worth individuals and a range of institutional clients, including qualified plan sponsors. The firm also offers 3(38) manager program services to plan sponsors and manages certain accounts through multiple advisory product structures and platforms.
AIM typically effects client trades through its broker‑dealer affiliate, Axiom Capital, with clearing by Hilltop Securities, and it may use sub‑investment managers available via the Envestnet platform. The firm offers a mix of advisory arrangements — including commission‑based, fee‑based, wrap and incentive arrangements — and discloses and addresses attendant conflicts of interest in its client agreements and policies.
What is distinctive about AIM relative to many peers is its close affiliation with an in‑house broker‑dealer and the attendant revenue flows (commissions, potential 12b‑1 and interest‑sharing arrangements) that the brochure identifies as a source of conflicts and mitigations. The firm also engages in performance‑based fee arrangements and side‑by‑side management and provides model line‑ups for plan sponsors, reflecting a blend of institutional plan services and high‑net‑worth private client work rather than a broad retail client focus.
Client services
Portfolio management
Selection of other advisers
Expertise
Active portfolio management
Options & derivatives strategies
Occupation focus
Founder/Business Owner
Fee options
$0 - $4,999,999: 2% $5,000,000 - $9,999,999: 1.75% $10,000,000 - $14,999,999: 1.5% $15,000,000 - $19,999,999: 1.25% $20,000,000+: 1%
80% to 100% of full commissions (0% to 20% discount); commissions vary by transaction type
20% of net profits over 4% annually (performance fee)
Fee-only: Up to 1.5% annually for up to $999,999,999 assets under management with no commissions charged
Main office location
Axiom Investment Management LLC
350 Fifth Avenue, Suite 6740
New York NY 10118, United States
Number of offices
1
Most active in
Axiom Investment Management LLC has reported serving >5 clients in these states in the last 12 months.
Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Louisiana · Maryland · Massachusetts · Michigan · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · Wisconsin
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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