AXOS INVEST, INC

B59
CRD 150953·SEC 801-79951·LAS VEGAS, NV
AUM
$150.8M
$100M-$500M
Est. Revenue
$1.5M
@ 1% on AUM
Est. EBITDA
$452K
@ 30% margin
Est. Deal Value
$3.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
AXOS INVEST, INC
CRD
150953
SEC file #
801-79951
EIN
464134945
DBA names

Economics

AUM
$150.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$178.7M → $150.8M▼ -16%
Client mix
Individuals Other6,792

Operations

Employees (total)
13
Advisory staff (per ADV)
10
Advisory staff (5-yr trend)
'20'26
3 advisors → 10 advisors▲ +233%
Primary office
LAS VEGAS NV
Branches

Custodian & Brokerage

Primary custodian
Axos Advisor Servicesmedium confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
AXOS SECURITIES, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
AXOS SECURITIES, LLC
Gallman, Tracy, Lyn
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002042928
Edgar Registered
Yes
Edgar Filing Count
8
Edgar First Filing Date
2024-11-08
Edgar Last Filing Date
2026-05-12
Edgar 13f Count
7
Edgar 13f Latest AUM Estimate
Filing Date2026-05-12
Accession0002042928-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
14
Bc Firm Active IA Count
14
Bc Firm IAR Count
14
Custodian Candidates
Window
Axos Advisor Services1
Full
Axos Advisor Services8
E*trade4
Edgar Addresses
Mailing
9205 W RUSSELL ROADSTE 400LAS VEGAS, NV 89148
Business
9205 W RUSSELL ROADSTE 400LAS VEGAS, NV 89148
Edgar EIN
464134945
Edgar Recent Filings
13F-HR2026-05-12 · 0002042928-26-000002
13F-HR2026-01-23 · 0002042928-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No