Axiom Investment Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$176,878,873
Clients
201
Advisors
1
of 10 employees
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
Expertise
Occupation focus
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
350 Fifth Avenue, Suite 6740
New York NY 10118
Advisors at this office
1
Most active in
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
Also doing business as
Axiom Investment Management LLC · Rockefeller Capital Management/Vios Advisors
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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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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