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
Axiom Wealth Strategies, LLC
Latest filing Jul 17, 2026
First filing on the tape Mar 24, 2025 · 3 filings
SEC status approved since Apr 23, 2025
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$122M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$62.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$125M as of Jul 17, 2026
Mar 24, 2025$100M then
HNW client RAUM$69.8M as of Jul 17, 2026
Mar 24, 2025$49.5M then
State-registered IARs (5.B.3)2 as of Jul 17, 2026
Mar 24, 20253 then
Employees (5.A)3 as of Jul 17, 2026
Mar 24, 20255 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $62.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $440,729derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $15.8M, 20 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$69.8M56%
- Individuals$52.6M42%
- Corporations and businesses$1.5M1.2%
- Charitable organizations$806,9250.6%
- Individual clients
- 203reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 283reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.8M for 20 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Neal Albert Richards | Bend, Or | Apr 21, 2021 | 18 y | 2 |
| Grant Michael Finter | Bend, Or | Jun 27, 2024 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- V Robert Wallace to Key Investment Services LLCNov 2, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- V Robert Wallace from Securities America Advisors, Inc.Mar 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- Neal Albert Richards from Cascade Financial StrategiesApr 21, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Albert Neal Richards · Founder, Chief Executive Officer, Chief Compliance Officercontrolsince 02/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bend, Or · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 375 to 283Mar 24, 2025 to Mar 19, 2026
- Advisory employees · 3 to 2Mar 24, 2025 to Mar 19, 2026
- Charity clients · 5 to 6Mar 24, 2025 to Mar 19, 2026
- Corporate clients · 2 to 5Mar 24, 2025 to Mar 19, 2026
- HNW clients · 48 to 69Mar 24, 2025 to Mar 19, 2026
- Individual clients · 195 to 203Mar 24, 2025 to Mar 19, 2026
- Assets in custody · unset to 15769632.0Mar 24, 2025 to Mar 19, 2026
- Custody of client assets · false to trueMar 24, 2025 to Mar 19, 2026
- Employees · 5 to 3Mar 24, 2025 to Mar 19, 2026
- State-registered IARs · 3 to 2Mar 24, 2025 to Mar 19, 2026
- Discretionary RAUM · $100M to $125MMar 24, 2025 to Mar 19, 2026
- HNW RAUM · $49.5M to $69.8MMar 24, 2025 to Mar 19, 2026
- Individual RAUM · $49.6M to $52.6MMar 24, 2025 to Mar 19, 2026
- RAUM · $100M to $125MMar 24, 2025 to Mar 19, 2026
Signals
1 dated events
- V Robert Wallace left Axiom Wealth Strategies, Llc for Key Investment Services Llc (registered 2025-09-29)Nov 2, 2023 · Advisor changed firm · 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
- Business email
- team@axiomwealthstrategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- noelle@axiomwealthstrategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kem@axiomwealthstrategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-389-7777reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 208-881-0749reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-287-6501reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/axiom-wealth-strategiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- axiomwealthstrategies.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 541-389-7777reportedpublic record, Form ADV, Jul 17, 2026
- Contact form
- axiomwealthstrategies.com/get-in-touchreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- axiomwealthstrategies.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $62.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026