DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Axs Investments LLC
Latest filing Feb 11, 2026
First filing on the tape Sep 7, 2019 · 9 filings
SEC status approved since Oct 4, 2019
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$3.0B as of Feb 11, 2026
Jan 30, 2020$446M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 11, 2026
Jan 30, 20200 then
Employees (5.A)8 as of Feb 11, 2026
Jan 30, 202012 then
Private funds: no history
RAUM +160% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $42.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +160%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 71reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Gregory Bassuk · Chief Executive Officercontrolsince 10/2019 · owns less than 5%
- B Parker Binion · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- David Gregory Bassuk · Membercontrolsince 09/2019 · owns 75% or more of Sr Partners LLC
Entity owners
- Axs Holdings LLC · Memberdirect · owns 75% or more
- Sr Partners LLC · Memberindirect · owns 75% or more of Axs Holdings LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 11, 2026RAUM (Item 5.F) moved from $1,162,630,499 to $3,020,930,000 (+160.0%) between the annual amendments of 2025-03-21 and 2026-02-11; the peer median change was +11.0% (1368 comparable advisers, 97.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 97% percentile
What changed
consecutive filings, newest first
- RAUM · $1.2B to $3.0BMar 21, 2025 to Feb 11, 2026
- Accounts · 29 to 71Mar 21, 2025 to Feb 11, 2026
- Employees · 10 to 8Mar 21, 2025 to Feb 11, 2026
- Discretionary RAUM · $1.2B to $3.0BMar 21, 2025 to Feb 11, 2026
- Accounts · 22 to 29Mar 27, 2024 to Mar 21, 2025
- Advisory employees · 11 to 4Mar 27, 2024 to Mar 21, 2025
- BD registered reps · 7 to 1Mar 27, 2024 to Mar 21, 2025
- Employees · 16 to 10Mar 27, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.3B to $1.2BMar 27, 2024 to Mar 21, 2025
- RAUM · $1.3B to $1.2BMar 27, 2024 to Mar 21, 2025
- Accounts · 30 to 22Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.6B to $1.3BMar 30, 2023 to Mar 27, 2024
- RAUM · $1.6B to $1.3BMar 30, 2023 to Mar 27, 2024
- Accounts · 12 to 30Jan 28, 2022 to Mar 30, 2023
- BD registered reps · 10 to 7Jan 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $640M to $1.6BJan 28, 2022 to Mar 30, 2023
- RAUM · $640M to $1.6BJan 28, 2022 to Mar 30, 2023
- Advisory employees · 9 to 11Mar 30, 2021 to Jan 28, 2022
- BD registered reps · 8 to 10Mar 30, 2021 to Jan 28, 2022
- Discretionary RAUM · $566M to $640MMar 30, 2021 to Jan 28, 2022
- RAUM · $566M to $640MMar 30, 2021 to Jan 28, 2022
- Accounts · 5 to 12Jan 30, 2020 to Mar 30, 2021
- Advisory employees · 5 to 9Jan 30, 2020 to Mar 30, 2021
- Employees · 12 to 16Jan 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $446M to $566MJan 30, 2020 to Mar 30, 2021
- RAUM · $446M to $566MJan 30, 2020 to Mar 30, 2021
- Accounts · 0 to 5Jan 10, 2020 to Jan 30, 2020
- Advisory employees · 4 to 5Jan 10, 2020 to Jan 30, 2020
- BD registered reps · 2 to 8Jan 10, 2020 to Jan 30, 2020
- Employees · 6 to 12Jan 10, 2020 to Jan 30, 2020
- Discretionary RAUM · $0 to $446MJan 10, 2020 to Jan 30, 2020
- RAUM · $0 to $446MJan 10, 2020 to Jan 30, 2020
Signals
8 dated events
- Axs Investments Llc reported RAUM $3.0B, up 160% from $1.2B (2025-03-21 to 2026-02-11)Feb 11, 2026 · RAUM change · derived
- B Parker Binion (Chief Compliance Officer) appeared on Schedule A of Axs Investments LlcMar 27, 2024 · Control person joined · fact
- Marc Russell Tencer (Chief Compliance Officer & Coo) no longer on Schedule A of Axs Investments Llc (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Axs Investments Llc reported RAUM $1.6B, up 143% from $639.6M (2022-01-28 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- M Mark Lacuesta (Cco) no longer on Schedule A of Axs Investments Llc (listed 2021-03-30, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Axs Investments Llc reported RAUM $566.2M, up 27% from $446.3M (2020-01-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Joseph Robert Enck (President) no longer on Schedule A of Axs Investments Llc (listed 2020-01-10, absent 2020-01-30)Jan 30, 2020 · Control person left · inference
- Axs Investments Llc filed its initial SEC registration (Form ADV)Sep 7, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/axs-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- axsinvestments.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 833-297-2587reportedpublic record, Form ADV, Feb 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026