{"url":"https://nivawealth.com/firms/axiom-wealth-strategies-313124","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/313124","regulatoryAum":124726210,"crd":"313124","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7864958","suffix":null,"lastName":"Finter","firstName":"Grant","middleName":"Michael"},{"crd":"5426580","suffix":null,"lastName":"RICHARDS","firstName":"NEAL","middleName":"ALBERT"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-24","regulatoryAum":100084739,"clients":250,"employees":5,"offices":2},{"filedOn":"2026-07-17","regulatoryAum":124726210,"clients":283,"employees":3,"offices":2}],"secFileNumber":"801-132515","legalName":"Axiom Wealth Strategies, LLC","displayName":"Axiom Wealth Strategies","slug":"axiom-wealth-strategies-313124","website":"https://axiomwealthstrategies.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/axiom-wealth-strategies/","xUrl":"https://x.com/AxiomWealth","founded":null,"organization":"Oregon limited liability company","fiscalYearEnd":"December","headquarters":{"street":"243 SW Scalehouse Loop, Suite 5b","city":"Bend","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97702"},"tradeNames":[],"registration":{"secApproved":"23 April 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":449897.0661764706,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":124726210,"discretionary":124726210,"discretionaryAccounts":283,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":203,"regulatoryAum":52572801},{"label":"High-net-worth individuals","clients":69,"regulatoryAum":69799201},{"label":"Charitable organizations","clients":6,"regulatoryAum":806925},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":1547283}],"feePrograms":[{"role":"main","program":"Strategic Wealth Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052162","versionId":1052162,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-07-17","documentName":"AXIOM ADV PART 2A","fee_rate_low":0.75,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":300000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Financial planning is charged a $5,000 fee covering set-up and ongoing use of Money Guide Pro and three hours of financial advising; additional hours are billed monthly in arrears at $150 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052162","versionId":1052162,"submittedOn":"2026-07-17","documentName":"AXIOM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:55:17.48969+00:00","documents":[{"name":"AXIOM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052162","versionId":1052162,"submittedOn":"2026-07-17"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":124726210}],"custodyNote":"Axiom Wealth Strategies has custody of $15.8M in client assets for 20 clients.","otherCustodians":[],"leadership":[{"name":"Neal Richards","title":"Founder, Chief Executive Officer, Chief Compliance Officer","crd":"5426580"}],"ownership":[{"label":"Neal Richards","detail":"Founder, chief executive officer, chief compliance officer in the 75% or more ownership band and a control person, since February 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Idaho","offices":1,"addresses":[{"street":"301 S Main Street,","city":"Moscow"}]},{"state":"Oregon","offices":1,"addresses":[{"street":"243 SW Scalehouse Loop, Suite 5b","city":"Bend","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"541-389-7777","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":92},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"17 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/313124/PDF/313124.pdf","brochureDate":"17 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052162","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Axiom Wealth Strategies have?","answer":"Axiom Wealth Strategies has 283 clients and manages $125 million for them, as of July 2026. They include 203 individual clients, 69 high-net-worth individuals and 6 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Axiom Wealth Strategies offer?","answer":"Axiom Wealth Strategies provides financial planning, portfolio management for individuals and small businesses, pension consulting, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Axiom Wealth Strategies charge?","answer":"Axiom Wealth Strategies charges 0.75%–1.50% a year for its Strategic Wealth Management. The fee is billed in advance, is negotiable and requires an account of at least $300,000.","source":"AXIOM ADV PART 2A, filed 17 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Axiom Wealth Strategies use?","answer":"Axiom Wealth Strategies’ separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $125M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Axiom Wealth Strategies have?","answer":"Axiom Wealth Strategies has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Axiom Wealth Strategies invest in?","answer":"At the end of its last fiscal year, Axiom Wealth Strategies’ separately managed accounts held 92% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Axiom Wealth Strategies have a minimum investment?","answer":"Yes, Axiom Wealth Strategies’ minimum account size for its Strategic Wealth Management is $300K.","source":"AXIOM ADV PART 2A, filed 17 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Axiom Wealth Strategies?","answer":"Axiom Wealth Strategies’ direct owner is Neal Richards (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Axiom Wealth Strategies get paid?","answer":"Axiom Wealth Strategies is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Axiom Wealth Strategies?","answer":"Axiom Wealth Strategies’ main office is at 243 SW Scalehouse Loop, Suite 5b, Bend, OR 97702. Its phone number is 541-389-7777. Its website is axiomwealthstrategies.com.","source":"Form ADV Part 1A, Item 1.F, filed 17 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}