AXA Advisors LLC

AXA Advisors LLC

A subsidiary of AXA Equitable Holdings, Inc.


1290 Sixth Ave.

New York, NY 10104

(212) 554-1234

Clearing firm: LPL Financial

No. advisers: 4,757

No. franchises: 40

AUM: $130,050,400,000

Year founded: 1999

Year end: Dec. 31

No. of retail offices: 35

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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 ContactCheryl Natoli
Technology Operations ContactRahul Joneja

Recruitment & Staffing

2018 2017 2016
No. of reps4,7574,7124,765
No. of producing reps4,4064,3264,375
No. of reps producing $100K-$499K /year1,6381,4921,474

Payout grid is available to Data Center subscribers only.

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2018 2017 2016
Total revenues$913,766,249$786,527,198$727,544,586
Commission revenues$633,209,400$557,029,874$536,787,579
Fee revenues$237,451,393$194,384,676$158,922,214
Total revenues: Other$43,105,456$35,112,648$31,834,793
2018 2017 2016
Total account assets$130,050,400,000$136,600,420,000$119,818,000,000
Fee-based assets$24,589,900,000$23,748,620,000$18,577,000,000
Total account assets: Other$105,460,500,000$112,851,800,000$101,241,000,000
Average assets per rep$27,338,743$28,989,902$25,145,435
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
Dedicated mobile application for advisers?N
Primary purpose of mobile applicationAwareness and marketing

Hybrid firm managing $225 million switches to LPL from Ameriprise

August 26, 2019 - Barry A. Rucks & Associates, a Philadelphia, Pa.-based hybrid managing $225 million, has switched its broker-dealer affiliation and registered investment adviser platform to LPL Financial from Ameriprise Financial Services. [More: See more adviser moves...

Top clearing and custody firms for financial advisers

August 17, 2019 - CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2018 Contact Phone/email Pershing One Pershing Plaza, Jersey City, NJ 07339 (800) 445-4467 625 -4.40% Michael Row Chief relationship...

Wells Fargo adviser managing $500 million moves to RIA firm

July 16, 2019 - Michelle Rudd, who managed $500 million in assets at Wells Fargo in Seattle, has joined Summit Trail Advisors and opened an office there for the RIA firm, which manages $5.5 billion. She joins the firm as a partner. (More:​ See more adviser moves in...

How to attract more women advisers

May 29, 2019 - Currently, less than 30% of advisers are women. What can be done to change this trend. Tammy Butts of Axa Advisors offers some solutions.

Finra fines AXA $600,000 over misclassified bond funds

May 2, 2019 - The Financial Industry Regulatory Authority Inc. has fined AXA Advisors $600,000 and ordered the firm to pay approximately $172,000 in restitution for distributing materials that "negligently misrepresentated" five bond funds as investment grade when...

Elderly investors win $3.2 million Finra arbitration award against AXA Advisors

May 1, 2019 - An elderly couple in upstate New York won a $3.2 million Finra arbitration award against AXA Advisors in a case involving unsuitable variable annuity and life insurance sales. James and Sandra Fitzpatrick alleged that their then-AXA representative, Francesco...

2019 top independent broker-dealers ranked by revenue

April 24, 2019 - Firm 2018 revenue ($M) % change vs. 2017 2018 commission revenue ($M) % change vs. 2017 2018 fee revenue ($M) % change vs. 2017 2018 other revenue ($M) % change vs. 2017 1 LPL Financial LLC 5188.4 21.2 1919.7 14.9 1793.5 27.3 1475.2 22.8 2 Ameriprise...

LPL Financial snags $500 million firm from Cadaret Grant

October 23, 2018 - LPL Financial has signed on a $500 million firm from Cadaret Grant. Beltz Ianni & Associates, which is based in Rochester, N.Y., was with Cadaret Grant & Co. for seven years before switching to LPL, according to Finra BrokerCheck. The firm has more than...

  • 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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