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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$0Item 5.F on the latest filing (2019-01-16); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$0

Private client RAUM

$0derivedItem 5.D individuals plus high net worth individuals

Advisors on IAPD

0

Employees

11

Advisory employees

3

Offices

0Schedule D 1.F, beyond the principal office

Accounts

0

Custody, client assets

$0

SEC number

801-114597

CRD

300096

Filings on the tape

2

First filed

Dec 18, 2018

Latest filed

Jan 16, 2019

Organised

Limited Liability Company, Delaware

• Occurred

  Dec 18, 2018
  First Form ADV filing

  Axos Securities Ria, Llc filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ca1f58ea-0a9e-9fb3-f243-2c0b0b77a052

First observed

Dec 18, 2018

Last observed

Jan 16, 2019 93 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.