{"url":"https://nivawealth.com/firms/wealthtrust-axiom-145186","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145186","regulatoryAum":899555956,"crd":"145186","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8144216","suffix":null,"lastName":"Cohen","firstName":"Jacob","middleName":"Greer"},{"crd":"1087510","suffix":null,"lastName":"HEABERG","firstName":"MICHAEL","middleName":"CAMPBELL"},{"crd":"2801975","suffix":null,"lastName":"ROSE","firstName":"CRAIG","middleName":"ALAN"},{"crd":"5385692","suffix":null,"lastName":"WEBSTER","firstName":"DAVID","middleName":"JOSEPH"}],"total":4,"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":"2021-03-31","regulatoryAum":601748903,"clients":597,"employees":5,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":665911199,"clients":612,"employees":5,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":655726037,"clients":621,"employees":5,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":728149204,"clients":612,"employees":5,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":802765223,"clients":598,"employees":4,"offices":1},{"filedOn":"2026-07-22","regulatoryAum":899555956,"clients":589,"employees":5,"offices":1}],"secFileNumber":"801-68405","legalName":"Wealthtrust 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manages $900 million for them, as of July 2026. They include 354 individual clients, 225 high-net-worth individuals, and 10 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wealthtrust Axiom offer?","answer":"Wealthtrust Axiom provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, education planning, estate planning, and insurance.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Wealthtrust Axiom have?","answer":"Wealthtrust Axiom has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 perform investment advisory functions. 0 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 Wealthtrust Axiom invest in?","answer":"At the end of its last fiscal year, Wealthtrust Axiom’s separately managed accounts held 60% exchange-traded equities, 27% cash and equivalents, 5% investment grade corporate bonds, 4% U.S. government and agency bonds, 3% state and local bonds and 1% high-yield corporate bonds.","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 Wealthtrust Axiom?","answer":"Wealthtrust Axiom is owned through a trust by THL Equity Fund VII Investors LLC, THL Parallel SPV, L.P., THL HT SPV, L.P. and HT Holding, LLC. Its direct owners are Michael Heaberg (10% to 25%), Wealthtrust LLC (50% to 75%) and Hightower Holding, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wealthtrust Axiom get paid?","answer":"Wealthtrust Axiom is paid through a percentage of assets under management. 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":"Is Wealthtrust Axiom registered with the SEC?","answer":"Yes, Wealthtrust Axiom has been registered with the SEC as an investment adviser since 4 October 2007. Its CRD number is 145186 and its SEC file number is 801-68405.","source":"Form ADV Part 1A, Item 1, filed 22 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Wealthtrust Axiom?","answer":"Wealthtrust Axiom’s main office is at 550 E Swedesford RD, Suite 110, Wayne, PA 19087. Its phone number is 610-688-0050. Its website is axiomasset.com.","source":"Form ADV Part 1A, Item 1.F, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/wealthtrust-axiom-145186/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-11","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1425949/000142594926000009/0001425949-26-000009-index.html","totalValue":447622046,"positionCount":302,"top10Share":0.29052303424751336,"top10":[{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":22535384,"shares":77880,"shareType":"SH"},{"issuer":"KINDER MORGAN INC DEL","titleOfClass":"COM","cusip":"49456B101","value":15398903,"shares":481667,"shareType":"SH"},{"issuer":"LSI INDS INC OHIO","titleOfClass":"COM","cusip":"50216C108","value":15133150,"shares":569344,"shareType":"SH"},{"issuer":"TETRA TECHNOLOGIES INC 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