Axa Investment Managers Inc

CRD#113608
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

or call us now at 1-888-467-5419

Overview

Axa Investment Managers Inc operates as an advisory company located in Greenwich, Connecticut. Axa Investment Managers Inc handles $77.3 billion in assets under management across 195 customer accounts, placing it among the biggest investment advisory firms in the United States by assets under management (AUM). The company has an average-sized group of 90 employees, including 59 financial advisors. Axa Investment Managers Inc does not act as a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its own accounts as well as its customers' and instead has to go through a broker-dealer firm to do so. Securities are tradable fiscal investments such as equities, options and bonds.

Axa Investment Managers Inc oversees most of its client assets on a discretionary basis. Discretionary management is a structure in which an investment advisor makes transaction judgments without needing to seek client authorization. The company also administers two non-discretionary accounts totaling $814.8 million in assets. The investment advisory firm oversees roughly $396.4 million in assets for every customer account. The typical financial advisor at Axa Investment Managers Inc oversees about three client accounts, placing it among the most individualized financial advisor firms in the country.

Axa Investment Managers Inc's central office is at 100 West Putnam Avenue, Greenwich, Connecticut 6830. Axa Investment Managers Inc is allowed to serve clients throughout 3 states, including California, Connecticut and Florida.

Assets Under Management

$77.3 billion

Number of Advisors

59

Disclosures

No

Office Location

100 West Putnam Avenue
Greenwich, CT 06830

Axa Investment Managers Inc by the Numbers

Total Assets Under Management

$77.3 billion

National Average: $3.7 billion
Total Number of Employees

90

National Average: 29
Total Number of Accounts

195

National Average: 2,073
Average Account Size

$396.4 million

National Average: $1.8 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Axa Investment Managers Inc provides a variety of services, which can include portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients and selection of other advisers. The firm does not sell products or offer services aside from investment advisory services to its investment advisory customers. It also has a number of financial industry affiliations, including with an insurance company or agency, real estate broker or dealer and commodity pool advisor.

Core Advisor Services

  • Find a firm that offers this service

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Find a firm that offers this service

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Find a firm that offers this service

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

Back to Overview

Fee Structure

A financial advisor's fees usually vary depending on the type of financial services offered. Fee types billed by the company can include the following fee types: asset-based, fixed or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Axa Investment Managers Inc.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 17% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Back to Overview

Types of Clients

The firm provides services to investment companies, pooled investment vehicles and other investment advisers. Out of its 195 accounts, Axa Investment Managers Inc's biggest client group is pooled investment vehicles. Around 75% of the firm's clients are non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Axa Investment Managers Inc does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

This content was compiled from the SEC and FINRA

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.