Axis Capital Management, LLC

Axis Capital Management is a single-advisor independent registered investment adviser that serves individuals (including high-net-worth clients), trusts and estates, offering discretionary asset management, comprehensive financial planning and flat-fee portfolio review services. The firm reports managing about $15.8 million for roughly ten client relationships.

Investment programs are tailored to each client’s stated objectives, time horizon and risk tolerance, and the advisor uses a mix of fundamental, technical, charting and cyclical analysis when constructing portfolios, with the ability to trade equities, fixed income, ETFs and options. Axis typically operates with discretionary trading authority, custodies client assets at Charles Schwab for execution and reporting, and conducts quarterly reviews with the option for more frequent oversight or rebalancing and tax-loss harvesting as needed.

Notably, Axis does not use a conventional percentage-of-assets fee schedule; financial planning is offered on a negotiable fixed-fee basis (initial plans $5,000–$10,000, ongoing planning $8,000–$15,000), an hourly option is available, and portfolio reviews are offered for a flat $99, with fees deducted from client accounts when authorized. The practice is distinguished by its small client base and the advisor’s prior institutional fixed-income trading experience, and the firm does not vote client proxies (clients receive and vote their own proxy materials).