Axis Point Capital
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm is a fee-only, state-registered independent investment adviser that provides discretionary portfolio management to individuals, high-net-worth clients, trusts, estates, retirement plans, small businesses, non-profits and certain financial institutions. In addition to percentage-of-AUM management, it offers performance-based fee arrangements to select, qualified clients.
Its primary offering is a hedged, concentrated equity strategy that typically holds a limited number of long equity positions and uses options and short positions to implement hedges and express views; the strategy is offered only to clients who meet the firm’s suitability criteria. The firm may employ frequent trading, option writing, short sales and leverage when appropriate, and clients may impose written restrictions (for example, limiting the use of options).
What is distinctive is the combination of performance-based compensation and a focused hedged-equity approach using derivatives — a mix that is relatively uncommon among solo independent advisers and can produce different incentives and risk profiles than more conventional, broadly diversified managers. The firm manages a small number of client relationships on a discretionary basis, operates as fee-only and does not act as custodian of client assets.
Client services
Expertise
Fee options
$0.00 - $5,000,000: 1% $5,000,000 - And up: 1%
20% of the realized and unrealized appreciation of the net asset value (NAV) of the client’s account for qualified clients, subject to a high watermark and negotiable terms.
Account minimum: $500,000 Minimum fee: $0 minimum annual fee for clients receiving ongoing asset management services. Fee-only: The Adviser is a fee-only investment management firm and does not sell financial products on a commission basis.
Main office
Newport Beach CA
Advisors at this office
1
Most active in
California
Also doing business as
Axis Point Capital · Axis Point Capital, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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.
Forms ADV
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