Wealth manager, independent · Wayne, PA
Axiom Asset Management
Wealthtrust Axiom, LLC · SEC-registered investment adviser · CRD 145186 · SEC 801-68405
At a glance
Axiom Asset Management is an SEC-registered investment adviser based in Wayne, Pennsylvania, with $900 million in regulatory assets under management as of its Form ADV filed July 22, 2026. Its largest client group by assets is individuals, and it reports 579 individual clients. By Form ADV it is a wealth manager, ranked 1,713th of 8,915 wealth managers and 5,711th of 17,210 SEC-registered advisers by assets.
Main office 610-688-0050axiomasset.comAs filed on Form ADV
- Regulatory AUM
- $900M
- Rank among wealth managers
- #1,713 of 8,915
- Rank among all SEC RIAs
- #5,711 of 17,210
- Rank in Pennsylvania
- #206 of 564
- Individual clients
- 579
- High-net-worth clients
- 225
- Accounts
- 614
- Discretionary
- 78% of AUM
- Employees
- 5
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
- Michael C. HeabergChief Executive Officer
- Craig A. RoseManaging Director
- Daniel J. BergChief Financial Officer
- David J. WebsterChief Compliance Officer
- Jared N. SchwartzChief Risk Officer
Custody and brokerage
Custodian
Axiom Asset Management’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: Hightower Securities, LLC.
- Hightower Securities, LLC ↗CRD 116681
An introducing broker-dealer: its trades clear through National Financial Services (Fidelity), Pershing and J.P. Morgan, which hold the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 354 | $801M | 89% |
| High-net-worth individuals | 225 | $92M | 10% |
| Pension and profit sharing plans | 10 | $6M | <1% |
Disciplinary disclosures
Axiom Asset Management answers yes to 17 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗axiomasset.com ↗
AtlasMembers
The full record on Axiom Asset Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 3,802 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Axiom Asset Management manage?
Axiom Asset Management reports $900 million in regulatory assets under management across 614 accounts, 78% of it on a discretionary basis, on its Form ADV filed July 22, 2026.
What kind of firm is Axiom Asset Management?
Axiom Asset Management is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Axiom Asset Management’s clients?
By assets, its largest client types are individuals ($801 million, 354 clients); high-net-worth individuals ($92 million, 225 clients); pension and profit sharing plans ($6 million, 10 clients).
Does Axiom Asset Management have any disciplinary history?
Axiom Asset Management answers yes to 17 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Axiom Asset Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-22), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →