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AXIOM ASSET MANAGEMENT

WAYNE, PA · CRD 145186 · IAPD ↗ · axiomasset.com · 610-688-0050

$899.6MRegulatory AUM
5Advisory reps
5Employees
0Clients
51-100Planning clients
0Private funds
16States
17Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
August 2026 — AXIOM ASSET MANAGEMENT's Item 11 disclosure-reporting entries rose by 10 (7 -> 17).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
53
April 2025 — AXIOM ASSET MANAGEMENT's Item 11 disclosure-reporting entries rose by 3 (4 -> 7).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
53
April 2024 — AXIOM ASSET MANAGEMENT's Item 11 disclosure-reporting entries rose by 4 (0 -> 4).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
53
April 2024 — AXIOM ASSET MANAGEMENT notice-filed in DC, IL, LA, NC, SC, TN, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
78
April 2024 — AXIOM ASSET MANAGEMENT now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.