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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

AXOS INVEST, INC

CRD 150953

LAS VEGAS, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:aa1e2fc3-4819-a3b5-fab2-2aacfdaf3dbd

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 22
On other graphs: 0
Observed: Jun 14, 2014 to Mar 27, 2026
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0
Regulatory AUM: $151MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $151M
Private client RAUM: $151MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $10.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 13
Advisory employees: 10
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 6,794
Individual clients: 6,792
Custody, client assets: $143M
SEC number: 801-79951
CRD: 150953
Filings on the tape: 43
First filed: Jun 14, 2014
Latest filed: Mar 27, 2026
Organised: Corporation, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
Chad Gailen Heidzig	n/a	Omaha, NE \| LAS VEGAS, NV	6	29	1	yes
DEREK MICHAEL TSCHUDIN	n/a	LAS VEGAS, NV	5	11	n/a	yes
Jason Schroeder	n/a	Omaha, NE \| LAS VEGAS, NV	4	28	1	yes
James Goldstein	n/a	LAS VEGAS, NV \| Centennial, CO	3	26	n/a	yes
Tracy Lyn Gallman	n/a	LAS VEGAS, NV	3	29	4	yes
Kian Fadaee	n/a	LAS VEGAS, NV	3	11	n/a	yes
HUNTER JAMES BREMER	n/a	Centennial, CO \| LAS VEGAS, NV	3	17	2	yes
BRANDY NICOLE DYER MORRIS	n/a	LAS VEGAS, NV \| Omaha, NE	3	11	2	yes
MORRY GENE MORALES	n/a	LAS VEGAS, NV \| San Diego, CA	2	11	2	yes
JAMES HILTON THOMAS	Chartered Financial Analyst	LAS VEGAS, NV	1	18	n/a	yes
Diane Nicole Klitz	n/a	LAS VEGAS, NV \| Omaha, NE	1	10	1	yes
Michael Jeffrey Richards	Certified Financial Planner	Los Angeles, CA \| LAS VEGAS, NV	1	16	1	yes
Paul Way Yeh	n/a	LAS VEGAS, NV \| San Diego, CA	0	18	2	yes
Cody Evan Heilpern Bostian	n/a	San Diego, CA	0	11	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AXOS FINANCIAL, INC	Shareholder	E	yes	10/2016	Mar 29, 2019	Jul 29, 2024
AXOS NEVADA HOLDING, LLC	Shareholder	E	yes	05/2018	Mar 29, 2019	Jul 29, 2024
AXOS SECURITIES, LLC	Shareholder	E	yes	07/2020	Mar 29, 2019	Jul 29, 2024
Gallman, Tracy, Lyn	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	Na	yes	02/2023	Feb 6, 2023	Jul 29, 2024
Plummer, Jeffrey, Kent	CHIEF COMPLIANCE OFFICER	Na	yes	06/2023	Jun 8, 2023	Jul 29, 2024
WALSH, DERRICK	CHIEF FINANCIAL OFFICER	Na	yes	06/2019	Jun 28, 2019	Jul 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
AXOS CLEARING LLC	n/a	n/a	n/a	N	yes	Ne
AXOS FINANCIAL, INC	n/a	n/a	n/a	Y	no	n/a
AXOS INVEST LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	3	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 12 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$151M	$151M	13	10	1	n/a	n/a
2024	Mar 28, 2025	$147M	$147M	13	10	1	n/a	n/a
2023	Mar 27, 2024	$143M	$143M	13	10	1	n/a	n/a
2022	Mar 15, 2023	$155M	$155M	11	9	1	n/a	n/a
2021	Mar 25, 2022	$209M	$209M	15	7	1	n/a	n/a
2020	Mar 30, 2021	$205M	$205M	19	2	0	n/a	n/a
2019	Mar 24, 2020	$206M	$206M	19	2	0	n/a	n/a
2018	Mar 29, 2019	$179M	$179M	10	3	0	n/a	n/a
2017	Feb 26, 2018	$153M	$153M	11	3	0	n/a	n/a
2016	Mar 31, 2017	$94.4M	$94.4M	21	4	n/a	n/a	n/a
2015	Mar 29, 2016	$49.0M	$49.0M	17	4	n/a	n/a	n/a
2014	Mar 14, 2015	$21.1M	$21.1M	12	3	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	4	-2	28.6%	1	1	0	6	6

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$151M	$147M	2.6%	$155M	-0.8%	13	13	1	1

Relationships

Registered with (23)

← Cody Evan Heilpern BostianAdvisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← Paul Way YehAdvisorregistration: current employment
Dec 11, 2025 to presentfactForm ADV
← Michael Jeffrey RichardsAdvisorregistration: current employment
Apr 8, 2025 to presentfactForm ADV
← Diane Nicole KlitzAdvisorregistration: current employment
Jan 29, 2025 to presentfactForm ADV
← JAMES HILTON THOMASAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← MORRY GENE MORALESAdvisorregistration: current employment
Apr 8, 2024 to presentfactForm ADV
← BRANDY NICOLE DYER MORRISAdvisorregistration: current employment
Jul 7, 2023 to presentfactForm ADV
← HUNTER JAMES BREMERAdvisorregistration: current employment
Jun 5, 2023 to presentfactForm ADV
← Kian FadaeeAdvisorregistration: current employment
Mar 24, 2023 to presentfactForm ADV
← Tracy Lyn GallmanAdvisorregistration: current employment
Feb 6, 2023 to presentfactForm ADV
← James GoldsteinAdvisorregistration: current employment
Oct 7, 2022 to presentfactForm ADV
← Jason SchroederAdvisorregistration: current employment
Oct 12, 2021 to presentfactForm ADV
← DEREK MICHAEL TSCHUDINAdvisorregistration: current employment
Feb 4, 2021 to presentfactForm ADV
← Chad Gailen HeidzigAdvisorregistration: current employment
Jan 23, 2020 to presentfactForm ADV
← Emily Liao YuAdvisorregistration: previous registration
Mar 14, 2024 to Aug 3, 2026factForm ADV
← Jacob Klevatt BentleyAdvisorregistration: previous registration
Aug 4, 2025 to Apr 14, 2026factForm ADV
← Jorge Antonio GuzmanAdvisorregistration: previous registration
Jun 1, 2023 to Mar 25, 2026factForm ADV
← Noah CicciarelliAdvisorregistration: previous registration
Sep 20, 2023 to Jan 6, 2026factForm ADV
← Ryan A McCollumAdvisorregistration: previous registration
Aug 23, 2024 to Jan 2, 2025factForm ADV
← Haylie Michelle KalinowskiAdvisorregistration: previous registration
Mar 9, 2023 to Jan 2, 2024factForm ADV
← Ria GostAdvisorregistration: previous registration
Mar 16, 2020 to Dec 7, 2020factForm ADV
← HERBERT WILSON MOOREAdvisorregistration: previous registration
Sep 9, 2010 to Jul 23, 2019factForm ADV
← DAVE PAUL STEINBECKAdvisorregistration: previous registration
Mar 25, 2015 to Mar 30, 2017factForm ADV

Controls (6)

← Gallman, Tracy, LynOwnerMANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Feb 6, 2023 to Jul 29, 2024factForm ADV
← Plummer, Jeffrey, KentOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 8, 2023 to Jul 29, 2024factForm ADV
← WALSH, DERRICKOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 28, 2019 to Jul 29, 2024factForm ADV
← AXOS FINANCIAL, INCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2019 to Jul 29, 2024factForm ADV
← AXOS NEVADA HOLDING, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2019 to Jul 29, 2024factForm ADV
← AXOS SECURITIES, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2019 to Jul 29, 2024factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 3, 2026
Advisor changed firm
Emily Liao Yu left Axos Invest, Inc for Advice And Planning Services (registered 2026-08-11)
Form ADVobserved 4 days ago
Occurred
Apr 14, 2026
Advisor changed firm
Jacob Klevatt Bentley left Axos Invest, Inc for Cetera Investment Advisers Llc (registered 2026-05-07)
Form ADVobserved 4 days ago
Occurred
Mar 25, 2026
Advisor changed firm
Jorge Antonio Guzman left Axos Invest, Inc for Vanguard Advisers, Inc. (registered 2026-05-20)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2026
Advisor changed firm
Noah Cicciarelli left Axos Invest, Inc for J.P. Morgan Securities Llc (registered 2026-01-23)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2025
Advisor changed firm
Ryan A Mccollum left Axos Invest, Inc for Ameritas Advisory Services, Llc (registered 2025-01-13)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2024
Advisor changed firm
Haylie Michelle Kalinowski left Axos Invest, Inc for Ubs Financial Services Inc. (registered 2024-01-23)
Form ADVobserved 4 days ago
Occurred
Jun 8, 2023
Control person joined
Kent Jeffrey Plummer (Chief Compliance Officer) appeared on Schedule A of Axos Invest, Inc
Form ADVobserved 4 days ago
Occurred
Feb 6, 2023
Control person joined
Lyn Tracy Gallman (Managing Director And Chief Investment Officer) appeared on Schedule A of Axos Invest, Inc
Form ADVobserved 4 days ago
Occurred
Feb 6, 2023
Control person left
Asbury Jason Rives (Cco) no longer on Schedule A of Axos Invest, Inc (listed 2022-11-02, absent 2023-02-06)
Form ADVobserved 4 days ago
Occurred
Feb 6, 2023
Control person left
Michael Ron Pitters (Ceo) no longer on Schedule A of Axos Invest, Inc (listed 2022-11-02, absent 2023-02-06)
Form ADVobserved 4 days ago
Occurred
Dec 3, 2019
Control person left
Matthew Brian Ramirez (Ceo) no longer on Schedule A of Axos Invest, Inc (listed 2019-10-17, absent 2019-12-03)
Form ADVobserved 4 days ago
Occurred
Dec 3, 2019
Control person joined
Michael Ron Pitters (Ceo) appeared on Schedule A of Axos Invest, Inc
Form ADVobserved 4 days ago
Occurred
Aug 6, 2019
Control person left
Vicki Zhou (Chief Operating Officer / Secretary) no longer on Schedule A of Axos Invest, Inc (listed 2019-06-28, absent 2019-08-06)
Form ADVobserved 4 days ago
Occurred
Jun 28, 2019
Control person joined
Asbury Jason Rives (Cco) appeared on Schedule A of Axos Invest, Inc
Form ADVobserved 4 days ago
Occurred
Jun 28, 2019
Control person joined
Derrick Walsh (Chief Financial Officer) appeared on Schedule A of Axos Invest, Inc
Form ADVobserved 4 days ago
Occurred
Jun 28, 2019
Control person joined
Matthew Brian Ramirez (Ceo) appeared on Schedule A of Axos Invest, Inc
Form ADVobserved 4 days ago
Occurred
Jun 28, 2019
Control person left
Wilson Herbert Moore (Cco) no longer on Schedule A of Axos Invest, Inc (listed 2019-03-29, absent 2019-06-28)
Form ADVobserved 4 days ago
Occurred
Jun 28, 2019
Control person left
M Ron Pitters (Ceo) no longer on Schedule A of Axos Invest, Inc (listed 2019-03-29, absent 2019-06-28)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person joined
M Ron Pitters (Ceo) appeared on Schedule A of Axos Invest, Inc
Form ADVobserved 4 days ago
Occurred
Jun 14, 2014
First Form ADV filing
Wisebanyan, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 2 bookkeeping events

Occurred
Mar 27, 2024
Axos Invest, Inc reported 13 state-registered advisory representatives, up from 3 (2023-06-08 to 2024-03-27)
Occurred
Mar 25, 2022
Axos Invest, Inc reported 12 state-registered advisory representatives, up from 0 (2021-03-30 to 2022-03-25)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa1e2fc3-4819-a3b5-fab2-2aacfdaf3dbd
First observed: Jun 14, 2014
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

AXOS INVEST, INC

CRD 150953

LAS VEGAS, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:aa1e2fc3-4819-a3b5-fab2-2aacfdaf3dbd

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Chad Gailen Heidzig

n/a

Omaha, NE | LAS VEGAS, NV

yes

DEREK MICHAEL TSCHUDIN

n/a

LAS VEGAS, NV

n/a

yes

Jason Schroeder

n/a

Omaha, NE | LAS VEGAS, NV

yes

James Goldstein

n/a

LAS VEGAS, NV | Centennial, CO

n/a

yes

Tracy Lyn Gallman

n/a

LAS VEGAS, NV

yes

Kian Fadaee

n/a

LAS VEGAS, NV

n/a

yes

HUNTER JAMES BREMER

n/a

Centennial, CO | LAS VEGAS, NV

yes

BRANDY NICOLE DYER MORRIS

n/a

LAS VEGAS, NV | Omaha, NE

yes

MORRY GENE MORALES

n/a

LAS VEGAS, NV | San Diego, CA

yes

JAMES HILTON THOMAS

Chartered Financial Analyst

LAS VEGAS, NV

n/a

yes

Diane Nicole Klitz

n/a

LAS VEGAS, NV | Omaha, NE

yes

Michael Jeffrey Richards

Certified Financial Planner

Los Angeles, CA | LAS VEGAS, NV

yes

Paul Way Yeh

n/a

LAS VEGAS, NV | San Diego, CA

yes

Cody Evan Heilpern Bostian

n/a

San Diego, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AXOS FINANCIAL, INC

Shareholder

yes

10/2016

Mar 29, 2019

Jul 29, 2024

AXOS NEVADA HOLDING, LLC

Shareholder

yes

05/2018

Mar 29, 2019

Jul 29, 2024

AXOS SECURITIES, LLC

Shareholder

yes

07/2020

Mar 29, 2019

Jul 29, 2024

Gallman, Tracy, Lyn

MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER

yes

02/2023

Feb 6, 2023

Jul 29, 2024

Plummer, Jeffrey, Kent

CHIEF COMPLIANCE OFFICER

yes

06/2023

Jun 8, 2023

Jul 29, 2024

WALSH, DERRICK

CHIEF FINANCIAL OFFICER

yes

06/2019

Jun 28, 2019

Jul 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AXOS CLEARING LLC

n/a

yes

AXOS FINANCIAL, INC

n/a

AXOS INVEST LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN DIEGO

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$151M

n/a

2024

Mar 28, 2025

$147M

n/a

2023

Mar 27, 2024

$143M

n/a

2022

Mar 15, 2023

$155M

n/a

2021

Mar 25, 2022

$209M

n/a

2020

Mar 30, 2021

$205M

n/a

2019

Mar 24, 2020

$206M

n/a

2018

Mar 29, 2019

$179M

n/a

2017

Feb 26, 2018

$153M

n/a

2016

Mar 31, 2017

$94.4M

n/a

2015

Mar 29, 2016

$49.0M

n/a

2014

Mar 14, 2015

$21.1M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

28.6%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$151M

$147M

2.6%

$155M

-0.8%