Axiom Financial Strategies Group, Llc
- Regulatory AUM
- $404M
- Discretionary
- $404M
- Clients
- 575
- Avg AUM / client
- $703K
- Accounts
- 1,382
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 467 | $57.8M | 14.3% |
| High net worth individuals | 108 | $290M | 71.7% |
| Charitable organizations | Fewer than 5 clients | $51.6M | 12.8% |
| Corporations and other businesses | Fewer than 5 clients | $4.8M | 1.2% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Horseshoe Foundation Of Floyd County Inc EIN 352086312 | New Albany, IN | 12/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Koetter Woodworking, Inc. 401(k) Plan Koetter Woodworking, Inc. | 2024 | |
| Eye Associates Of Southern Indiana 401(k) Plan Eye Associates Of Southern Indiana | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Vaughan Scott | Ceo, Chief Compliance Officer | Nov 2019 (7y) | ≈ 42.19% – 100% via Niotaze, Llc | |
| Grau, Michael, Anthony | Shareholder | Oct 2020 (6y) | ≈ 14.06% – 50% via Grau Family Holdings Llc | |
| Leah Driver | Cfo | Nov 2021 (5y) | Less than 5% | |
| Gloria Jean Bommarrito | Registered representative | Apr 2020 (6y) | ||
| Justin Kepley | Registered representative | CFA | Mar 2025 (1y) | |
| Cullen Byrne Ebert | Registered representative | Jun 2025 (1y) | ||
| Sawyer Gene Lillard | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Axiom Financial Holdings Llc | Shareholder | Nov 2019 | A | 75% or more |
| Niotaze, Llc | Shareholder | Oct 2020 | B | ≈ 56.25% – 100% via Axiom Financial Holdings Llc |
| Grau Family Holdings Llc | Shareholder | Nov 2019 | B | ≈ 18.75% – 50% via Axiom Financial Holdings Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Vaughan Scott: 75% – 100% of Niotaze, Llc × 75% – 100% of Axiom Financial Holdings Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Grau, Michael, Anthony: 75% – 100% of Grau Family Holdings Llc × 25% – 50% of Axiom Financial Holdings Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Niotaze, Llc: 75% – 100% of Axiom Financial Holdings Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Grau Family Holdings Llc: 25% – 50% of Axiom Financial Holdings Llc × 75% – 100% direct ≈ 18.75% – 50% 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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Koetter Woodworking, Inc. 401(k) Plan | Koetter Woodworking, Inc. | 271 | $28.4M | 01/01/2024 |
| Eye Associates Of Southern Indiana 401(k) Plan | Eye Associates Of Southern Indiana | 164 | $10.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Horseshoe Foundation Of Floyd County Inc | Public charity | $44.2M | 12/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.06 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Wells Fargo $394M (97% 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 31, 2026.
View current Form ADV (SEC/IAPD) ↗