Wealth manager, wrap-program sponsor · New Albany, IN
Axiom Financial Strategies Group, LLC
SEC-registered investment adviser · CRD 306618 · SEC 801-117878
At a glance
Axiom Financial Strategies Group, LLC is an SEC-registered investment adviser based in New Albany, Indiana, with $404 million in regulatory assets under management as of its Form ADV filed September 28, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 575 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 3,456th of 8,915 wealth managers and 8,744th of 17,210 SEC-registered advisers by assets.
Main office 812-913-7701axiomfsg.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $404M
- Rank among wealth managers
- #3,456 of 8,915
- Rank among all SEC RIAs
- #8,744 of 17,210
- Rank in Indiana
- #73 of 146
- Individual clients
- 575
- High-net-worth clients
- 108
- Accounts
- 1,382
- Discretionary
- 100% of AUM
- Employees
- 9
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- David V. ScottManaging Partner, Chief Compliance Officer
- Justin KepleyChief Investment Officer
- Leah DriverCFO
Custody and brokerage
Broker-dealer
Hybrid RIA
Axiom Financial Strategies Group, LLC is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed September 2026) names Integrity Alliance as the broker-dealer its advisers are registered with.
ns Certain Advisory Persons of Axiom are also be registered representatives of Integrity Alliance, LLC ("Integrity Alliance"), a securities broker-dealer, and a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securi
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 108 | $290M | 72% |
| Individuals | 467 | $58M | 14% |
| Charitable organizations | – | $52M | 13% |
| Corporations or other businesses | – | $5M | 1% |
Disciplinary disclosures
Axiom Financial Strategies Group, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗axiomfsg.com ↗
AtlasMembers
The full record on Axiom Financial Strategies Group, LLC
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, 5 years of filings
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- Growth over one, three and five years
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- Rank against 6,006 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Axiom Financial Strategies Group, LLC manage?
Axiom Financial Strategies Group, LLC reports $404 million in regulatory assets under management across 1,382 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
What kind of firm is Axiom Financial Strategies Group, LLC?
Axiom Financial Strategies Group, LLC 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 Financial Strategies Group, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($290 million, 108 clients); individuals ($58 million, 467 clients); charitable organizations ($52 million).
Does Axiom Financial Strategies Group, LLC have any disciplinary history?
Axiom Financial Strategies Group, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Axiom Financial Strategies Group, LLC’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 (2026-09-28), 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 →