Firm Information

About Axxcess Wealth Management, LLC:

Axxcess is Registered Investment Advisor with the SEC.

Our main office is in Carlsbad California. We have offices in Fullerton California and Scottsdale Arizona. Securities are offered by Arete Wealth Management, LLC member FINRA, SIPC, NFA. Axxcess offers advisory services independent of Arete. Neither firm is affiliated.

Where can I learn more?

Please review our FORM ADV Brochure to learn more about our services.

Please remember that past performance is not indicative of future results. Different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment, investment strategy, or product made reference to directly or indirectly on this website, would be suitable for your portfolio. 

Due to various factors, including changing market conditions, the content may no longer be reflective of current opinions or positions. Moreover, you should not assume that any discussion or information contained on this website serves as the receipt of, or as a substitute for, personalized investment advice from your Advisor or Axxcess Wealth Management, LLC. 

To the extent that a reader has any questions regarding the applicability of any specific issue discussed above to his/her individual situation, he/she is encouraged to consult with the professional advisor of his/her choosing.

AWM FORM ADV BROCHURE

General Questions

Where are my assets held?

Axxcess does not custody your assets. Currently, we manage money for clients on Schwab, Fidelity, NFS, Ameritrade, and Millennium Trust Platforms. We will help you make informed choices about your custodian. Your custodian will send you monthly statements, and tax reporting annually.

How do you safeguard my information?

Much of the information clients provide to us over the course of our professional relationship is non-public, private information. Your privacy is important to us. We understand that the foundation of our relationship is conditional on the proper safeguarding of your personal information.

Read our Privacy Policy

How do you communicate with me?

Your Advisor is your primary contact and takes the lead in communicating with you. Axxcess leverages leading portfolio management tools to bring comprehensive portfolio reporting to clients. We remain continuously available to meet in person, and over the phone. Quarterly and Annual reports, along with client reviews will keep you informed about the decisions and transactions in your accounts. Axxcess will manage your account on either a limited, or fully discretionary manner. Please refer to our Form ADV Brochure for more complete information about fees, services, reporting, and our fiduciary duties to you.

How to do business with Axxcess Wealth Management, LLC

How do you work with me?

Clients engage Axxcess Wealth Management directly or through their Advisory firm or Broker Dealer that has signed an agreement with Axxcess to allow us to provide certain services to you. You will receive our FORM ADV and sign an engagement agreement. Your Advisor will document your unique situation, and often develop a written plan or investment policy statement.

How do you charge?

Axxcess provides clients with several ways to engage and pay for our services. Most commonly clients will pay for investment management services based on a percentage of the assets we manage. However, some of our services do not involve managing money and those can be paid hourly, or on a project basis. We will develop a scope of work, and communicate all fees on an engagement agreement you have the right to rescind the engagement via written notice within 5 days of signing the engagement agreement.

Where do you do business?

Axxcess Wealth Management, LLC is a registered investment advisor located in Carlsbad, California. Securities are offered through Arete Wealth Management, LLC, member FINRA, SIPC, NFA. Axxcess Wealth Management, LLC may only transact business in those states in which it is registered or qualifies for an exemption or exclusion from registration requirements. This website is limited to the dissemination of general information pertaining to its diversified services. Accordingly, the publication of this website should not be construed by any consumer and/or prospective client as a solicitation to effect, or attempt to effect, transactions in securities or the rendering of personalized investment or tax advice for compensation, over the Internet.

Other Questions

Do you have a business continuity plan?

Axxcess has adopted a business continuity plan. You can read it by clicking the link below.

Learn More

From the lawyers:

Axxcess Wealth Management, LLC does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness or relevance of any information prepared by any unaffiliated third party, whether linked to this website or incorporated herein, and takes no responsibility therefore.

All such information is provided solely for the purposes of convenience only and all users thereof should be guided accordingly. The information contained herein has been obtained from sources believed to be reliable, but its accuracy and completeness are not guaranteed. Axxcess Wealth Management, LLC (“Axxcess”),  reserves the right at any time and without notice to modify, amend, or cease publication of the information on this site. Everything on this site has been prepared solely for informative purposes. Axxcess may also make improvements and/or changes to its services and/or the programs described at any time without notice.

We look forward to talking to you.

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