AXA Advisors LLC

AXA Advisors LLC

A subsidiary of AXA Financial Inc.

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1290 Sixth Ave.

New York, NY 10104

(212) 554-1234

us.axa.com

Clearing firm: LPL Financial

No. advisers: 4,712

No. franchises: 40

AUM: $136,600,420,000

Year founded: 1999

Year end: Dec. 31

No. of retail offices: 40

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Additional data available to subscribers:
  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

CEODavid Karr
Recruiting ContactCynthia Bodison
(704) 540-3927
E-mail
Technology Operations ContactRahul Joneja
201-743-5997
E-mail

Recruitment & Staffing

2017 2016 2015
No. of reps4,7124,7654,743
No. of producing reps4,3264,3754,376
No. of reps producing $100K-$499K /year1,4921,4741,485

Payout grid is available to Data Center subscribers only.

Subscribe or log in to the B-D Data Center for access to all available data.

2017 2016 2015
Total revenues$786,527,198$727,544,586$746,903,200
Commission revenues$557,029,874$536,787,579$562,003,200
Fee revenues$194,384,676$158,922,214$155,100,000
Total revenues: Other$35,112,648$31,834,793$29,800,000
2017 2016 2015
Total account assets$136,600,420,000$119,818,000,000$110,671,000,000
Fee-based assets$23,748,620,000$18,577,000,000$16,595,000,000
Total account assets: Other$112,851,800,000$101,241,000,000$94,076,000,000
Average assets per rep$28,989,902$25,145,435$23,333,544
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Dedicated mobile application for advisers?N
Primary purpose of mobile applicationAwareness and marketing

Top independent broker-dealers ranked by revenue

April 21, 2018 - Firm 2017 % revenue ($M) % change vs. 2016 2017 commission revenue ($M) % change vs. 2016 2017 fee revenue ($M) % change vs. 2016 2017 other revenue ($M) % change vs. 2016 1 LPL Financial $4,281.50 5.70% $1,670.80 -3.80% $1,409.20 9.30% $1,201.40 17.50%...

AXA Advisors vice chairwoman Christine Nigro to leave

January 26, 2018 - The No. 2 executive at AXA Advisors, vice chairwoman Christine Nigro, will leave the firm in the middle of the year to pursue other opportunities, according to a memo issued this month by the firm's chairman, David Karr. A 2017 InvestmentNews Women to...

Finra bars former AXA rep

August 24, 2017 - John P. Correnti, a former registered representative at AXA Advisors, has been barred by Finra for failing to provide testimony and documents connected with an investigation into possible rule violations. According to the Financial Industry Regulatory...

Finra bars former AXA rep for failure to appear at hearing

August 9, 2017 - The Financial Industry Regulatory Authority has banned Bryan C. Lightsey, a former broker at AXA Advisors, for failure to appear at a hearing looking into his conduct. Mr. Lightsey, of Boca Raton, Fla., was terminated by AXA Advisors in 2016 after seven...

Top clearing and custody firms for financial advisers

August 7, 2017 - CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2016 Contact Phone/email Pershing (800) 445-4467 714* -3.90% Michael Row (800) 445-4467 One Pershing Plaza, Jersey City, NJ 07399 pershing.com/who-we-serve/broker-dealers...

Four tech tools for communicating with clients

August 4, 2017 - Technology affects the way we communicate and build relations with our clients. Interacting with clients regularly and gaining their trust and loyalty are important. I have a degree in computer engineering, but pursued a career in wealth management. I...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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