{"url":"https://nivawealth.com/firms/axius-advisors-330006","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/330006","regulatoryAum":623842000,"crd":"330006","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6057356","suffix":null,"lastName":"BROWNE","firstName":"SCOTT","middleName":"MICHAEL"},{"crd":"6518815","suffix":null,"lastName":"Chambliss","firstName":"Timothy","middleName":"John"},{"crd":"6518266","suffix":null,"lastName":"JACOBS","firstName":"CHRISTOPHER","middleName":"JOSEPH"},{"crd":"1082905","suffix":null,"lastName":"KENNY","firstName":"STEVEN","middleName":"CHAPPELEAR"},{"crd":"1913241","suffix":null,"lastName":"KLENKE","firstName":"RONALD","middleName":"WAYNE"},{"crd":"3181054","suffix":null,"lastName":"LOCKER","firstName":"JEFF","middleName":"RYAN"},{"crd":"4865641","suffix":null,"lastName":"ORR","firstName":"MICHAEL","middleName":"ALAN"},{"crd":"2156095","suffix":"III","lastName":"REED","firstName":"THOMAS","middleName":"ROBERT"},{"crd":"6354656","suffix":"JR","lastName":"Sergiewich","firstName":"Kurt","middleName":"Walter"},{"crd":"2119454","suffix":null,"lastName":"STILLMAN","firstName":"STEVEN","middleName":"LEWIS"},{"crd":"3241543","suffix":null,"lastName":"STONEBARGER","firstName":"KELLY","middleName":"LYNN"},{"crd":"3274577","suffix":null,"lastName":"TURNER","firstName":"LORI","middleName":"ANN"}],"total":12,"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":"2024-05-03","regulatoryAum":0,"clients":0,"employees":9,"offices":1},{"filedOn":"2025-03-17","regulatoryAum":0,"clients":0,"employees":9,"offices":1},{"filedOn":"2026-03-05","regulatoryAum":623842000,"clients":1231,"employees":9,"offices":1}],"secFileNumber":"801-130416","legalName":"Axius Advisors LLC","displayName":"Axius Advisors","slug":"axius-advisors-330006","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/axius-financial;","founded":null,"organization":"Missouri limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2085 Blue Stone Drive","city":"Saint Charles","state":"MO","stateName":"Missouri","country":"United States","postalCode":"63303"},"tradeNames":[],"registration":{"secApproved":"3 June 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":506776.6043866775,"staff":{"employees":9,"advisory":8,"brokerDealerReps":8,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":623842000,"discretionary":623842000,"discretionaryAccounts":2827,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1113,"regulatoryAum":380543620},{"label":"High-net-worth individuals","clients":118,"regulatoryAum":243298380}],"feePrograms":[{"role":"other","program":"Financial Planning Services","summary":"Fixed fee for creating a financial plan is negotiated up to $5,000; hourly financial planning is negotiated up to $150 an hour, paid in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014748","versionId":1014748,"submittedOn":"2026-03-05","documentName":"ADV PART 2A - AXIUS ADVISORS LLC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T17:41:12.085931+00:00","documents":[{"name":"ADV PART 2A - AXIUS ADVISORS LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014748","versionId":1014748,"submittedOn":"2026-03-05"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":623842000}],"custodyNote":"Axius Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Thomas Reed","title":"President","crd":"2156095"},{"name":"Jeff Locker","title":"Cheif Executive Officer & Chief Compliance Officer","crd":"3181054"}],"ownership":[{"label":"Jeff Locker","detail":"Cheif executive officer & chief compliance officer in the 75% or more ownership band and a control person, since October 2013."},{"label":"Thomas Reed","detail":"President in the 25% to 50% ownership band and a control person, since October 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Missouri","offices":1,"addresses":[{"street":"2085 Blue Stone Drive","city":"Saint Charles","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"636-493-9600","stateRegisteredReps":8,"otherAdviserReps":8,"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"],"financialPlanningClients":"1000","assetMix":[{"label":"Exchange-traded equity securities","percent":33},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"5 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/330006/PDF/330006.pdf","brochureDate":"5 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014748","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 Axius Advisors have?","answer":"Axius Advisors has 1,231 clients and manages $624 million for them, as of March 2026. They include 1,113 individual clients and 118 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Axius Advisors offer?","answer":"Axius Advisors provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Axius Advisors use?","answer":"Axius Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $624M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Axius Advisors have?","answer":"Axius Advisors has 8 investment adviser representatives registered with state securities authorities, out of 9 employees, and 8 perform investment advisory functions. 8 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Axius Advisors invest in?","answer":"At the end of its last fiscal year, Axius Advisors’ separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 33% exchange-traded equities, 3% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% derivatives.","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":"Who owns Axius Advisors?","answer":"Axius Advisors’ direct owners are Jeff Locker (75% or more) and Thomas Reed (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Axius Advisors get paid?","answer":"Axius Advisors 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 Axius Advisors?","answer":"Axius Advisors’ main office is at 2085 Blue Stone Drive, Saint Charles, MO 63303. Its phone number is 636-493-9600.","source":"Form ADV Part 1A, Item 1.F, filed 5 March 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."}