AXOS INVEST, INC
CRD #150953 SEC #801-79951 LAS VEGAS, NV 858-376-6055
SEC Registered
Total AUM
$147M
Discretionary
$147M
Employees
13
Clients
--
Accounts
9,625
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 5, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| Gallman, Tracy, Lyn | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | CEO & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | CEO | NA | Control |
| MOORE, HERBERT, WILSON | I | CEO | NA | Control |
| MOORE, HERBERT, WILSON | I | CEO | NA | Control |
| MOORE, HERBERT, WILSON | I | CCO | NA | Control |
| MOORE, HERBERT, WILSON | I | CEO | NA | Control |
| MOORE, HERBERT, WILSON | I | CCO | NA | Control |
| MOORE, HERBERT, WILSON | I | CEO | NA | Control |
| MOORE, HERBERT, WILSON | I | CCO | NA | Control |
| MOORE, HERBERT, WILSON | I | CCO | NA | Control |
| PATEL, PARTH, HITENDRA | I | SHAREHOLDER | NA | |
| PATEL, PARTH, HITENDRA | I | SHAREHOLDER | NA | |
| PITTERS, RON, M | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Pitters, Ron, Michael | I | CEO | NA | Control |
| Plummer, Jeffrey, Kent | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Plummer, Jeffrey, Kent | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Plummer, Jeffrey, Kent | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Plummer, Jeffrey, Kent | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Plummer, Jeffrey, Kent | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Plummer, Jeffrey, Kent | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Plummer, Jeffrey, Kent | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RAMIREZ, BRIAN, MATTHEW | I | CEO | NA | Control |
| RAMIREZ, BRIAN, MATTHEW | I | CEO | NA | Control |
| RAMIREZ, BRIAN, MATTHEW | I | CEO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| RIVES, JASON, ASBURY | I | CCO | NA | Control |
| THOMAS, JAMES, HILTON | I | CHEIF INVESTMENT OFFICER | NA | |
| THOMAS, JAMES, HILTON | I | CHIEF INVESTMENT OFFICER | NA | |
| THOMAS, JAMES, HILTON | I | CHIEF INVESTMENT OFFICER | NA | |
| THOMAS, JAMES, HILTON | I | CHIEF INVESTMENT OFFICER | NA | |
| THOMAS, JAMES, HILTON | I | CHIEF INVESTMENT OFFICER | NA | |
| THOMAS, JAMES, HILTON | I | CHIEF INVESTMENT OFFICER | NA | |
| TSCHUDIN, DEREK, MICHAEL | I | INTERIM CHIEF COMPLIANCE OFFICER | NA | |
| TSCHUDIN, DEREK, MICHAEL | I | INTERIM CHIEF COMPLIANCE OFFICER | NA | |
| TSCHUDIN, DEREK, MICHAEL | I | INTERIM CHIEF COMPLIANCE OFFICER | NA | |
| TSCHUDIN, DEREK, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WALSH, DERRICK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER / SECRETARY | NA | Control |
| Zhou, Shu | I | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| Zhou, Shu | I | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| AXOS SECURITIES, LLC | DE | SHAREHOLDER | E | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| WISEBANYAN HOLDINGS, INC. | DE | OWNER | E | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| MOORE, HERBERT, WILSON | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| ZHOU, VICKI | I | VICE PRESIDENT, CHIEF OPERATING OFFICER, SHAREHOLDER | B | Control |
| RAMIREZ, BRIAN, MATTHEW | I | SHAREHOLDER | A | |
| RAMIREZ, BRIAN, MATTHEW | I | SHAREHOLDER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS FINANCIAL, INC | DE | AXOS NEVADA HOLDING, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES, LLC | E | Control |
| AXOS SECURITIES, LLC | DE | WISEBANYAN HOLDINGS, INC. | E | Control |
| AXOS SECURITIES, LLC | DE | WISEBANYAN HOLDINGS, INC. | E | Control |
| AXOS SECURITIES, LLC | DE | WISEBANYAN HOLDINGS, INC. | E | Control |
| AXOS SECURITIES, LLC | DE | WISEBANYAN HOLDINGS, INC. | E | Control |
| AXOS SECURITIES, LLC | DE | WISEBANYAN HOLDINGS, INC. | E | Control |
| AXOS SECURITIES, LLC | DE | WISEBANYAN HOLDINGS, INC. | E | Control |
| AXOS SECURITIES, LLC | DE | WISEBANYAN HOLDINGS, INC. | E | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | D | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | D | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
| MOORE, HERBERT, WILSON | I | WISEBANYAN HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Nov 5, 2025 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
9205 W RUSSELL ROADSUITE 400
LAS VEGAS, NV 89148
United States
Phone: 858-376-6055