WEALTHTRUST AXIOM, LLC of WAYNE, PA is an SEC-registered investment adviser (CRD 145186). Regulatory assets under management: $899.6M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pensions, Charities.
Showing 25 of 30 people.
| Name | Role | Location |
|---|---|---|
| Lee Haskell | MANAGING MEMBER | New York, NY |
| Daniel Jeremy Berg | CHIEF FINANCIAL OFFICER | — |
| Jared Nolan Schwartz | CHIEF RISK OFFICER | — |
| Robert William Loreaux | EXECUTIVE VICE PRESIDENT | — |
| Michael Campbell Heaberg | CHIEF EXECUTIVE OFFICER | — |
| Craig Alan Rose | MANAGING DIRECTOR | — |
| David Joseph Webster | CHIEF COMPLIANCE OFFICER | — |
| GORMLEY STEPHEN KEVIN | BOARD OF MANAGERS; MANAGER; MANAGING MEMBER | — |
| HACKER JUSTIN BRUCE | SECRETARY/TREASURER | — |
| MCMAKEN BRUCE ROBERT | BOARD OF MANAGERS | — |
| BALL GEORGE LESTER | BOARD OF MANAGERS | — |
| BENTON MARVIN RUSH | PRESIDENT | — |
| HENRY MICHAEL KEITH | VICE PRESIDENT | — |
| EDELMAN FREDRIC MARK | SHAREHOLDER; SOLE SHAREHOLDER | — |
| MOORE EDWARD PHILIP | BOARD OF MANAGERS | — |
| CORNE ROBERT JEFFERY | VICE PRESIDENT AND SECRETARY | — |
| MATT ALBERT CHAPEL | CHIEF COMPLIANCE OFFICER; PRESIDENT & CHIEF COMPLIANCE OFFICER; PRESIDENT/MANAGING DIRECTOR | — |
| LOREAUX ROBERT WILLIAM | EXECUTIVE VICE PRESIDENT | — |
| HEABERG MICHAEL CAMPBELL | CHIEF EXECUTIVE OFFICER | — |
| BOYLE HUGH THOMAS | TITLE PRINCIPAL | — |
| RODRIGUEZ CHARLES JOSEPH | BOARD OF MANAGERS | — |
| DEEM HOLLY DAY | BOARD OF MANAGERS | — |
| THETFORD MICHELLE MARIE | PRINCIPAL | — |
| PAGLIUCO ROBERT STEVEN | EVP AND TREASURER | — |
| RODRIGUEZ DANIEL J | BOARD OF MANAGERS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-01-19 | regulatory | ON 9/17/2024, THE SEC SETTLED ADMINISTRATIVE PROCEEDINGS AGAINST NEPC IN CONNECTION WITH ITS FAILURE TO MAKE FORM 13F FILINGS FROM THE QUARTER ENDING 12/31/2019 TO 9/30/2023. NEPC ALSO IDENTIFIED A POTENTIAL ISSUE RELATING TO THE TIMELY FILING OF FORM 13H AND SELF-REPORTED THE ISSUE TO THE SEC. NEPC… | Final | $725K |
| — | regulatory | — | — | — |