Asset manager · Coral Gables, FL
Axxes Advisors LLC
SEC-registered investment adviser · CRD 318039 · SEC 801-126433
At a glance
Axxes Advisors LLC is an SEC-registered investment adviser based in Coral Gables, Florida, with $100,000 in regulatory assets under management as of its Form ADV filed September 23, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 2,584th of 3,218 asset managers and 16,499th of 17,210 SEC-registered advisers by assets.
Main office 800-684-1006axxescapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among asset managers
- #2,584 of 3,218
- Rank among all SEC RIAs
- #16,499 of 17,210
- Rank in Florida
- #1,036 of 1,090
- Clients
- 1
- Accounts
- 1
- Discretionary
- 0% of AUM
- Employees
- 10
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Adam L. KaplanChief Administrative Officer
- Gary J BachmanChief Financial Officer
- Joseph E. DagrosaChief Executive Officer
- Linda J. HoardChief Compliance Officer
Custody and brokerage
Custodian
Axxes Advisors LLC’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
Hybrid RIA
Axxes Advisors LLC is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $0M | 100% |
Disciplinary disclosures
Axxes Advisors LLC answers yes to 3 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
- Portfolio management for investment companies
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗axxescapital.com ↗
AtlasMembers
The full record on Axxes Advisors 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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 252 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 5Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Axxes Advisors LLC manage?
Axxes Advisors LLC reports $100,000 in regulatory assets under management across 1 accounts, on its Form ADV filed September 23, 2026.
What kind of firm is Axxes Advisors LLC?
Axxes Advisors LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Axxes Advisors LLC’s clients?
By assets, its largest client types are investment companies ($100,000, 1 clients).
Does Axxes Advisors LLC have any disciplinary history?
Axxes Advisors LLC answers yes to 3 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 Axxes Advisors 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 (2026-09-23), 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 →