SEC-registered independent wealth management RIA
Axia Asset Management, LLC
As of its Form ADV filed March 4, 2026, Axia Asset Management, LLC, an SEC-registered independent wealth management RIA in Hastings-on-Hudson, New York, reported $71.1 million in regulatory assets under management across 24 accounts, ranking #539 among independent RIAs in New York by assets.
Registration
- Main office
- Hastings-on-Hudson, NY
- Registration
- SEC-registered, Approved
- CRD number
- 173148
- SEC file number
- 801-115030
- Registered since
- April 18, 2019
- Latest Form ADV filing
- March 4, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $71.1 million
- Discretionary
- $71.1 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 24 (24 discretionary)
- Clients
- 9, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $3.0 million
- Asset growth, 1 year
- 10.9% (from $64.1 million a year earlier)
- Asset growth, 3-year annual rate
- 15.9% (from $45.7 million three years earlier)
- Asset growth, 5-year annual rate
- 11.2% (from $41.8 million five years earlier)
- Client growth, 1 year
- 0.0% (from 9)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2019 | $42.0 million |
| October 1, 2020 | $49.9 million |
| October 4, 2021 | $41.8 million |
| October 3, 2022 | $51.0 million |
| October 5, 2023 | $45.7 million |
| October 1, 2024 | $49.7 million |
| September 2, 2025 | $64.1 million |
| October 2, 2026 | $71.1 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 9 clients | $71.1 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Real estate broker, dealer or agent
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
0 of the firm's 1 IAR are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| HV Capital Management | Montgomery | $71.5 million |
| Main Street Financial | Purchase | $71.1 million |
| Monthie Wealth Advisors | Latham | $71.1 million |
| Wisdom Capital Asset Management, LLC | New York | $71.0 million |
| Fiduciary Management Group, LLC | New York | $70.7 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Axia Asset Management, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Independent RIAs in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.