WEALTHTRUST AXIOM LLC

HTTP://WWW.AXIOMASSET.COM RADNOR, PA Investment Advisor How do I update this listing?

Wealthtrust Axiom is based out of Radnor. Wealthtrust Axiom is a large advisory firm with 617 clients and discretionary assets under management (AUM) of $476,792,000 (Form ADV from 2020-06-23). Their last reported 13F filing for Q2 2020 included $227,163,000 in managed 13F securities and a top 10 holdings concentration of 31.28%. Wealthtrust Axiom's largest holding is Iridium Communications Inc with shares held of 389,105. Wealthtrust Axiom has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 51 13F filings, and 29 13G filings

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06/30/2020

13F Activity

  • Market Value $227.163 Million
  • Prior Market Value $203.899 Million
  • New Purchases24 stocks
  • Additional Purchases51 stocks
  • Sold out of14 stocks
  • Reduced holdings in93 stocks
  • Top 10 Holdings % 31.28 %
  • Turnover % [1]:18.36%
  • Turnover Alt % [2]: 6.97 %
  • Time Held Top20:13.10 quarters
  • Time Held Top10:9.70 quarters
  • Time Held All:25.59 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 27.13%
Performance Last 4 Quarters: -3.67%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

AXIOM ASSET MANAGEMENT
550 E SWEDESFORD RD SUITE 110
WAYNE PA    19087
Country: United States

Business Phone: 610-688-0050
Fax: 610-688-0075
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 5
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 617
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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WEALTHTRUST AXIOM, LLC

ownership team - last updated 2020-06-23
Name Title Start Date Direct/Indirect % Ownership
MATT, ALBERT, CHAPEL PRESIDENT & CHIEF COMPLIANCE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC PRESIDENT/MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2003-02-01
WEALTHTRUST AXIOM, LLC PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2007-10-01
RUBICON HOLDINGS INCORPORATED MANAGING DIRECTOR direct 1995-12-01 2002-03-06
AXIOM ASSET MANAGEMENT, LLC PRESIDENT direct 2003-02-01 2003-05-27
AXIOM ASSET MANAGEMENT, LLC PRESIDENT AND MANAGING DIRECTOR direct 2003-02-01 2004-07-22
WEALTHTRUST AXIOM, LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01 2007-09-21
LOREAUX, ROBERT, WILLIAM EXECUTIVE VICE PRESIDENT 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC EXECUTIVE VICE PRESIDENT direct 2007-10-01
HEABERG, MICHAEL, CAMPBELL CHIEF EXECUTIVE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC CHIEF EXECUTIVE OFFICER direct 2007-10-01
ROSE, CRAIG, ALAN MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHTRUST AXIOM, LLC MANAGING DIRECTOR direct 2015-04-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
BERG, DANIEL, JEREMY DIRECTOR OF FINANCE 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THETFORD, MICHELLE, MARIE PRINCIPAL 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
HIGHTOWER HOLDING LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
THL EQUITY FUND VII INVESTORS LLC OWNER HIGHTOWER HOLDING LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

WEALTHTRUST AXIOM, LLC

ownership team - last updated 2020-03-16
Name Title Start Date Direct/Indirect % Ownership

WEALTHTRUST AXIOM, LLC

ownership team - last updated 2019-03-22
Name Title Start Date Direct/Indirect % Ownership
MATT, ALBERT, CHAPEL PRESIDENT & CHIEF COMPLIANCE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC PRESIDENT/MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2003-02-01
WEALTHTRUST AXIOM, LLC PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2007-10-01
RUBICON HOLDINGS INCORPORATED MANAGING DIRECTOR direct 1995-12-01 2002-03-06
AXIOM ASSET MANAGEMENT, LLC PRESIDENT direct 2003-02-01 2003-05-27
AXIOM ASSET MANAGEMENT, LLC PRESIDENT AND MANAGING DIRECTOR direct 2003-02-01 2004-07-22
WEALTHTRUST AXIOM, LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01 2007-09-21
LOREAUX, ROBERT, WILLIAM EXECUTIVE VICE PRESIDENT 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC EXECUTIVE VICE PRESIDENT direct 2007-10-01
HEABERG, MICHAEL, CAMPBELL CHIEF EXECUTIVE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC CHIEF EXECUTIVE OFFICER direct 2007-10-01
ROSE, CRAIG, ALAN MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHTRUST AXIOM, LLC MANAGING DIRECTOR direct 2015-04-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
BERG, DANIEL, JEREMY DIRECTOR OF FINANCE 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WOODS, TIMOTHY, BERNARD PRINCIPAL 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
HIGHTOWER HOLDING LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
THL EQUITY FUND VII INVESTORS LLC OWNER HIGHTOWER HOLDING LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

WEALTHTRUST AXIOM, LLC

ownership team - last updated 2018-12-17
Name Title Start Date Direct/Indirect % Ownership
MATT, ALBERT, CHAPEL PRESIDENT & CHIEF COMPLIANCE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC PRESIDENT/MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2003-02-01
WEALTHTRUST AXIOM, LLC PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2007-10-01
RUBICON HOLDINGS INCORPORATED MANAGING DIRECTOR direct 1995-12-01 2002-03-06
AXIOM ASSET MANAGEMENT, LLC PRESIDENT direct 2003-02-01 2003-05-27
AXIOM ASSET MANAGEMENT, LLC PRESIDENT AND MANAGING DIRECTOR direct 2003-02-01 2004-07-22
WEALTHTRUST AXIOM, LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01 2007-09-21
LOREAUX, ROBERT, WILLIAM EXECUTIVE VICE PRESIDENT 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC EXECUTIVE VICE PRESIDENT direct 2007-10-01
HEABERG, MICHAEL, CAMPBELL CHIEF EXECUTIVE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC CHIEF EXECUTIVE OFFICER direct 2007-10-01
ROSE, CRAIG, ALAN MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHTRUST AXIOM, LLC MANAGING DIRECTOR direct 2015-04-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
PAGLIUCO, ROBERT, STEVEN EVP AND TREASURER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC MANAGER direct 2017-06-01
DUNCKER, STREETT & CO., LLC EVP AND TREASURER direct 2017-06-01
DELTA ASSET MANAGEMENT, LLC EVP AND TREASURER direct 2017-06-01
KANAWHA CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2017-06-01
THE RIKOON GROUP, LLC EVP AND TREASURER direct 2017-07-01
WEALTHTRUST ARIZONA LLC EVP AND TREASURER direct 2017-06-01
WEALTHTRUST FAIRPORT, LLC EVP AND TREASURER direct 2008-05-01
HIGHTOWER ADVISORS, LLC CFO, MANAGER direct 2008-05-01
LEONETTI & ASSOCIATES, LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2017-06-01
HIGHTOWER NETWORK ADVISORS, LLC CFO, MANAGER direct 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC EVP AND TREASURER direct 2017-06-01
HIGHTOWER HOLDING LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
THL EQUITY FUND VII INVESTORS LLC OWNER HIGHTOWER HOLDING LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

WEALTHTRUST AXIOM, LLC

ownership team - last updated 2017-11-29
Name Title Start Date Direct/Indirect % Ownership
MATT, ALBERT, CHAPEL PRESIDENT & CHIEF COMPLIANCE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC PRESIDENT/MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2003-02-01
WEALTHTRUST AXIOM, LLC PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2007-10-01
RUBICON HOLDINGS INCORPORATED MANAGING DIRECTOR direct 1995-12-01 2002-03-06
AXIOM ASSET MANAGEMENT, LLC PRESIDENT direct 2003-02-01 2003-05-27
AXIOM ASSET MANAGEMENT, LLC PRESIDENT AND MANAGING DIRECTOR direct 2003-02-01 2004-07-22
WEALTHTRUST AXIOM, LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01 2007-09-21
LOREAUX, ROBERT, WILLIAM EXECUTIVE VICE PRESIDENT 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC EXECUTIVE VICE PRESIDENT direct 2007-10-01
HEABERG, MICHAEL, CAMPBELL CHIEF EXECUTIVE OFFICER 10/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AXIOM ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-06-01
WEALTHTRUST AXIOM, LLC CHIEF EXECUTIVE OFFICER direct 2007-10-01
ROSE, CRAIG, ALAN MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHTRUST AXIOM, LLC MANAGING DIRECTOR direct 2015-04-01
CORNE, ROBERT, JEFFERY VICE PRESIDENT AND SECRETARY 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF FINANCIAL OFFICER direct 2009-11-01
SANDERS MORRIS HARRIS LLC FINOP / VICE PRESIDENT direct 2016-05-01
SMH CAPITAL ADVISORS LLC VP AND SECRETARY direct 2016-05-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
HOEFER & ARNETT CAPITAL MANAGEMENT, INC. TREASURER direct 2006-07-01
HOWE BARNES CAPITAL MANAGEMENT, INC. TREASURER direct 2005-06-01
DUNCKER, STREETT & CO., LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
MILLER-GREEN FINANCIAL SERVICES LLC VP AND SECRETARY direct 2016-05-01
DELTA ASSET MANAGEMENT, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
KANAWHA CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
THE RIKOON GROUP, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
WEALTHTRUST ARIZONA LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
WEALTHTRUST FAIRPORT, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
WEALTHTRUST AXIOM, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
LEONETTI & ASSOCIATES, LLC VICE PRESIDENT AND SECRETARY AND BOARD OF MANAGERS direct 2016-05-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT AND SECRETARY direct 2016-07-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
HIGHTOWER HOLDING LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01

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