Axiom Investment Management provides portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Axiom Investment Management reports 214 clients. They include 201 high-net-worth individuals, 11 corporations and other businesses, and 1 pension or profit-sharing plan. Of its assets, 100.0% ($237M across 214 accounts) are managed with discretion. Of its clients, 3% are outside the U.S. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | 94% | 75% |
| Pension and profit-sharing plans | <1% | 2% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | 5% | 23% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | 201 | $177M | 74.7% | $880K |
| Pension and profit-sharing plans | Fewer than 5 | $4.75M | 2.0% | $4.75M |
| Charitable organizations | Fewer than 5 | $818K | 0.3% | $818K |
| Corporations and other businesses | 11 | $54.3M | 22.9% | $4.94M |
| Total | 214 | $237M | 100% | — |
- Clients
- 201
- Regulatory AUM
- $177M
- AUM share
- 74.7%
- Avg. per client
- $880K
- Clients
- Fewer than 5
- Regulatory AUM
- $4.75M
- AUM share
- 2.0%
- Avg. per client
- $4.75M
- Clients
- Fewer than 5
- Regulatory AUM
- $818K
- AUM share
- 0.3%
- Avg. per client
- $818K
- Clients
- 11
- Regulatory AUM
- $54.3M
- AUM share
- 22.9%
- Avg. per client
- $4.94M
Total
- Clients
- 214
- Regulatory AUM
- $237M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 3%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
Axiom Investment Management is paid through a percentage of assets under management and performance-based fees. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Liam Dalton owns 75% or more of Axiom Investment Management. The leadership team of Axiom Investment Management includes Chief Compliance Officer Eric Miller. It has 10 employees, 4 of them in advisory roles.
Staff
- 10 employees
- 4 in advisory functions
- 1 state-registered rep
- 9 broker-dealer reps
- 1 insurance agent
- 3 soliciting firms
- Owns 75% or more of Axiom Investment Management LLC
Liam Dalton
Control person · since August 2006
Axiom Investment Management’s regulatory assets grew from $172M (March 2021) to $237M (April 2026); clients fell from 302 to 214 and employees from 12 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Apr 2026April 2026 | $237M | 214 | 10 | 1 |
| Mar 2025March 2025 | $234M | 194 | 11 | 1 |
| Mar 2024March 2024 | $214M | 199 | 11 | 1 |
| Mar 2023March 2023 | $136M | 212 | 10 | 1 |
| Mar 2022March 2022 | $134M | 179 | 10 | 1 |
| Mar 2021March 2021 | $172M | 302 | 12 | 1 |
Besides its headquarters, Axiom Investment Management has 0 offices, with 1 listed address in 1 state.
New York · 1 listed address
- 350 Fifth Avenue, Suite 6740, New YorkHQ
Contact and registration details
- Legal name
- Axiom Investment Management LLC
- Headquarters
- 350 Fifth Avenue, Suite 6740, New York, NY 10118
- Website
- Not reported
- Phone
- 212-521-3800
- SEC file
- 801-67131
- Structure
- Delaware LLC
- Fiscal year end
- December
Axiom Investment Management’s named custodian for separately managed accounts is Hilltop Securities ($136M). Axiom Investment Management does not have custody of client assets.
- Hilltop SecuritiesHilltop Securities Inc. · Dallas, TX · $136M100%
At year end, Axiom Investment Management’s separately managed accounts were mostly in stocks (54%) and bonds (32%). Its reported 13F holdings for the quarter ended 30 June 2026 total $150M across 528 positions; the largest are Union Pac Corp. (6.9%), Apple Inc. (5.5%) and Micron Technology Inc. (4.3%).
What the accounts hold
- Stocks54%
- Funds4%
- Bonds32%
- U.S. government and agency bonds31%
- State and local bonds1%
- Cash10%
How many clients does Axiom Investment Management have?
Axiom Investment Management has 214 clients and manages $237 million for them, as of April 2026. They include 201 high-net-worth individuals, 11 corporations and other businesses, and 1 pension or profit-sharing plan.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 15 April 2026
What services does Axiom Investment Management offer?
Axiom Investment Management provides portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Axiom Investment Management use?
Axiom Investment Management’s separately managed account assets are held at Hilltop Securities Inc. (Dallas, TX), with $136M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 April 2026
How many financial advisors does Axiom Investment Management have?
Axiom Investment Management has 1 investment adviser representative registered with state securities authorities, out of 10 employees, and 4 perform investment advisory functions. 9 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Axiom Investment Management invest in?
At the end of its last fiscal year, Axiom Investment Management’s separately managed accounts held 54% exchange-traded equities, 31% U.S. government and agency bonds, 10% cash and equivalents, 4% registered funds (mutual funds, ETFs, BDCs) and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Axiom Investment Management?
Axiom Investment Management’s direct owner is Liam Dalton (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 15 April 2026
How does Axiom Investment Management get paid?
Axiom Investment Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Axiom Investment Management?
Axiom Investment Management’s main office is at 350 Fifth Avenue, Suite 6740, New York, NY 10118. Its phone number is 212-521-3800.