Axa Advisors, LLC

CRD#6627
Investment Advisor Firm

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Overview

Axa Advisors, LLC operates as a financial advisor firm headquartered in New York, New York. The company oversees $17.0 billion in assets over 55,104 client accounts, placing it among the largest firms in the United States by assets under management (AUM). The company has a very large group of 5,930 employees, including 3,538 financial advisors. Axa Advisors, LLC is not a registered broker-dealer, signifying that the company is not able to buy and sell securities for its accounts and those of its clients and instead is required to go through a broker-dealer company to do so. Securities are tradable fiscal assets such as options, equities and bonds.

Axa Advisors, LLC oversees some of its client assets on a discretionary basis. Discretionary management is a structure in which a portfolio manager has the discretion to make transaction decisions without requiring the customer's permission. The company also has 43,981 non-discretionary accounts with a total of $12.5 billion in AUM. The investment advisory firm's typical account size is $308,715. An average financial advisor at Axa Advisors, LLC administers around 16 client accounts, placing it among the more personalized advisor firms in the country.

Axa Advisors, LLC's headquarters is located at 1290 Avenue Of The Americas, New York, New York 10104. It is allowed to serve clients across 50 U.S. states and territories.

Assets Under Management

$17.0 billion

Number of Advisors

3,538

Disclosures

No

Office Location

1290 Avenue Of The Americas
New York, NY 10104

Axa Advisors, LLC by the Numbers

Total Assets Under Management

$17.0 billion

National Average: $3.3 billion
Total Number of Employees

5,930

National Average: 31
Total Number of Accounts

55,104

National Average: 1,935
Average Account Size

$308.7 thousand

National Average: $1.7 million

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Products and Services

Axa Advisors, LLC provides a number of services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. In the last financial year, the firm provided 1500 of its customers with financial planning services. The company is engaged in selling products or offering services apart from investment advisory services to its customers. It is affiliated with one or more other service providers in the financial services industry, including with a broker-dealer or securities dealer, insurance company or agency and commodity pool advisor.

Core Advisor Services

  • Offered by 44% of firms

    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.

  • Offered by 61% of firms

    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.

  • Offered by 10% of firms

    Educational Seminars/Workshops

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

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Fee Structure

Financial management fees are based on which services the firm provides the client. However, fees billed by the company can be comprised of the following fee types: asset-based, hourly or fixed. The firm does participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.

Available

  • Offered by 72% 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 35% of firms

    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.

  • Offered by 39% 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 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 17% of firms that offer this fee type

    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.

  • 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.

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Types of Clients

The company does business with a number of different clients. It provides services to retail investors, high net worth investors, pension plans, charitable organizations, corporations and other. Out of its 55,104 clients, Axa Advisors, LLC's biggest client group is retail investors, though it also serves 23,738 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its customers are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 43.08%
  • Other Individuals - 54.92%
  • Corporations - 1.72%
  • Charitable Organizations - 0.28%

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

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Disclosures

Axa Advisors, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Axa Advisors, LLC

Cindy Zheng
Hillsborough, CA
Ryan Kay
Las Vegas, NV
Todd Buss
Saint Louis, MO
Christopher Reese
Golden, CO
Martin Jawor
Secaucus, NJ
Kaden Adams
Andover, KS
Timothy Cowdrick
Broadview Heights, OH
Kenneth Handy
Columbia, MD

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This content was compiled from the SEC and FINRA