AXIOM WEALTH STRATEGIES, LLC

C45
CRD 313124·SEC 801-132515·BEND, OR
AUM
$124.7M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$374K
@ 30% margin
Est. Deal Value
$3.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
AXIOM WEALTH STRATEGIES, LLC
CRD
313124
SEC file #
801-132515
EIN
DBA names

Economics

AUM
$124.7M
AUM band
$100M-$500M
AUM trajectory
'25'26
$100.1M → $124.7M▲ +25%
Client mix
Individuals Other203
Individuals High Net Worth69
Charitable Organizations6
Corporations5

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
3 advisors → 2 advisors▼ -33%
Primary office
BEND OR
Branches

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingEducational Seminars Workshops
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/19/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RICHARDS, NEAL, ALBERT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
RICHARDS, NEAL, ALBERT
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:axiomstrategies.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Lpl Financial7
Charles Schwab4
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
5426580
Trust Company Affiliate
No