Wealth manager, bank-affiliated · LAS Vegas, NV
Axos Invest, Inc
SEC-registered investment adviser · CRD 150953 · SEC 801-79951
At a glance
Axos Invest, Inc is an SEC-registered investment adviser based in LAS Vegas, Nevada, with $151 million in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is individuals, and it reports 6,792 individual clients. By Form ADV it is a wealth manager (bank-affiliated), ranked 6,865th of 8,915 wealth managers and 13,662nd of 17,210 SEC-registered advisers by assets.
Main office 858-376-6055axosinvest.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $151M
- Rank among wealth managers
- #6,865 of 8,915
- Rank among all SEC RIAs
- #13,662 of 17,210
- Rank in Nevada
- #58 of 77
- Individual clients
- 6,792
- High-net-worth clients
- 0
- Accounts
- 6,794
- Discretionary
- 100% of AUM
- Employees
- 13
- Advisory staff
- 10
- Offices
- 2
Owners and executives on its Form ADV
- Derrick WalshChief Financial Officer
- Tracy L. GallmanManaging Director and Chief Investment Officer
- Derek M. TschudinChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Axos Invest, Inc is a hybrid RIA: 13 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Axos Clearing LLC and Axos Invest LLC.
- Axos Clearing LLC ↗CRD 117176
- Axos Invest LLC ↗CRD 172393
An introducing broker-dealer: its trades clear through Axos Clearing, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Its Form ADV brochure (filed March 2026) names Axos Clearing and Axos Invest as the broker-dealer its advisers are registered with.
Clearing Firms Axos Clearing LLC Some of the Firm’s management persons are registered representatives of Axos Clearing LLC (“Axos Clearing”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 6,792 | $147M | 98% |
| High-net-worth individuals | – | $3M | 2% |
Disciplinary disclosures
Axos Invest, Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗axosinvest.com ↗
AtlasMembers
The full record on Axos Invest, Inc
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 5,394 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
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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 Axos Invest, Inc manage?
Axos Invest, Inc reports $151 million in regulatory assets under management across 6,794 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Axos Invest, Inc?
Axos Invest, Inc 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. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Axos Invest, Inc’s clients?
By assets, its largest client types are individuals ($147 million, 6,792 clients); high-net-worth individuals ($3 million).
Does Axos Invest, Inc have any disciplinary history?
Axos Invest, Inc 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 Axos Invest, Inc’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 (2026-03-27), 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 →