Axos Invest, Inc
- Regulatory AUM
- $151M
- Discretionary
- $151M
- Clients
- 6,792
- Avg AUM / client
- $22.2K
- Accounts
- 6,794
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 6,792 | $147M | 97.8% |
| High net worth individuals | Fewer than 5 clients | $3.3M | 2.16% |
People (16)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Walsh, Derrick | Chief Financial Officer | Jun 2019 (7y) | Less than 5% | |
| Tracy Lyn Gallman | Managing Director And Chief Investment Officer | Feb 2023 (4y) | Less than 5% | |
| Plummer, Jeffrey, Kent | Chief Compliance Officer | Jun 2023 (3y) | Less than 5% | |
| Chad Gailen Heidzig | Registered representative | Jan 2020 (7y) | ||
| Derek Michael Tschudin | Registered representative | Feb 2021 (5y) | ||
| Jason Schroeder | Registered representative | Oct 2021 (5y) | ||
| James Goldstein | Registered representative | Oct 2022 (4y) | ||
| Kian Fadaee | Registered representative | Mar 2023 (3y) | ||
| Hunter James Bremer | Registered representative | Jun 2023 (3y) | ||
| Brandy Nicole Dyer Morris | Registered representative | Jul 2023 (3y) | ||
| Emily Liao Yu | Registered representative | Mar 2024 (2y) | ||
| Morry Gene Morales | Registered representative | Apr 2024 (2y) | ||
| James Hilton Thomas | Registered representative | CFA | Jan 2025 (2y) | |
| Diane Nicole Klitz | Registered representative | Jan 2025 (2y) | ||
| Michael Jeffrey Richards | Registered representative | CFP | Apr 2025 (1y) | |
| Paul Way Yeh | Registered representative | Dec 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Axos Securities, Llc | Shareholder | Jul 2020 | A | 75% or more |
| Axos Nevada Holding, Llc | Shareholder | May 2018 | B | ≈ 56.25% – 100% via Axos Securities, Llc |
| Axos Financial, Inc | Shareholder | Oct 2016 | B | ≈ 42.19% – 100% via Axos Nevada Holding, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Axos Nevada Holding, Llc: 75% – 100% of Axos Securities, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Axos Financial, Inc: 75% – 100% of Axos Nevada Holding, Llc × 75% – 100% of Axos Securities, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Apex Clearing $206M (100% of AUM) Jul 2020
- Axos Clearing $151M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗