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

Axius Advisors LLC

Independent wealth managerSaint Charles, MissouriCRD 330006SEC 801-130416websiteIAPD
Latest filing Mar 5, 2026
First filing on the tape May 3, 2024 · 4 filings
SEC status approved since Jun 3, 2024
RAUM
$624M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$624M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$52.0M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$624M as of Mar 5, 2026
Mar 17, 2025$0 then
HNW client RAUM$243M as of Mar 5, 2026
Feb 4, 2026$243M then
State-registered IARs (5.B.3)8 as of Mar 5, 2026
Mar 17, 20258 then
Employees (5.A)9 as of Mar 5, 2026
Mar 17, 20259 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 8
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$52.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
103derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$220,673derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.8derivedItem 5.A over advisors
Advisors per office
12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
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)
  • 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
  • Individuals$381M61%
  • High-net-worth individuals$243M39%
Individual clients
1,113reported
HNW clients
118reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,827reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Jeff Ryan LockerSaint Charles, MoOct 29, 202426 y4
Lori Ann TurnerSaint Charles, MoOct 29, 202427 y5
Ronald Wayne KlenkeSaint Charles, MoOct 29, 202437 y6
Steven Lewis StillmanSaint Charles, MoOct 29, 202435 y7
Thomas Robert ReedSaint Charles, MoOct 29, 202435 y5
Scott Michael BrowneChartered Financial ConsultantSaint Charles, MoOct 29, 202414 y1
Christopher Joseph JacobsSaint Charles, MoOct 29, 202411 y1
Timothy John ChamblissSaint Charles, MoOct 29, 202411 y2
Steven Chappelear KennySaint Charles, MoOct 29, 202443 y4
Kelly Lynn StonebargerCertified Financial PlannerSaint Charles, MoOct 30, 202421 y4
Kurt Walter SergiewichSaint Charles, MoOct 30, 202411 y4
Michael Alan OrrSaint Charles, MoJan 13, 202521 y2
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 headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ryan Jeff Locker · Cheif Executive Officer & Chief Compliance Officercontrol
        since 10/2013 · owns 75% or more
      • Robert Thomas Reed · Presidentcontrol
        since 10/2013 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Saint Charles, Mo · principal1200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 2,827
        Mar 17, 2025 to Feb 4, 2026
      • Charity clients · unset to 0.0
        Mar 17, 2025 to Feb 4, 2026
      • Corporate clients · unset to 0.0
        Mar 17, 2025 to Feb 4, 2026
      • HNW clients · unset to 118.0
        Mar 17, 2025 to Feb 4, 2026
      • Individual clients · unset to 1113.0
        Mar 17, 2025 to Feb 4, 2026
      • Pension plan clients · unset to 0.0
        Mar 17, 2025 to Feb 4, 2026
      • Pooled vehicle clients · unset to 0.0
        Mar 17, 2025 to Feb 4, 2026
      • Financial planning clients · 0 to More than 500
        Mar 17, 2025 to Feb 4, 2026
      • Discretionary RAUM · $0 to $624M
        Mar 17, 2025 to Feb 4, 2026
      • HNW RAUM · unset to 243298380.0
        Mar 17, 2025 to Feb 4, 2026
      • Individual RAUM · unset to 380543620.0
        Mar 17, 2025 to Feb 4, 2026
      • Pension RAUM · unset to 0.0
        Mar 17, 2025 to Feb 4, 2026
      • Pooled vehicle RAUM · unset to 0.0
        Mar 17, 2025 to Feb 4, 2026
      • RAUM · $0 to $624M
        Mar 17, 2025 to Feb 4, 2026
      • Financial planning clients · 0 to 0
        May 3, 2024 to Mar 17, 2025
      Signals
      2 dated events
      • 11 advisors left Cambridge Investment Research Advisors, Inc. (Saint Charles, MO) for Axius Advisors LLC within 2 days
        Jul 14, 2025 · Team lift-out · derived
      • Axius Advisors Llc filed its initial SEC registration (Form ADV)
        May 3, 2024 · 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/axius-financial;reportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      636-493-9600reportedpublic record, Form ADV, Mar 5, 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
      $52.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026