AXA INVESTMENT MANAGERS US INC
Compensation Model
Compensation type disclosed on SEC Form ADV Item 5C. Filed 46111. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.
Conflict of Interest Analysis
Broker-Dealer Affiliated: No
No broker-dealer affiliation. Lower risk of commission-driven advice.
Insurance Licensed: Yes
This firm can sell insurance products (annuities, life insurance). This creates an incentive to recommend these products even when alternatives may be more appropriate.
Custody of Client Assets: Yes
This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.
Proprietary Products: No
Uses only third-party investment products. No proprietary product conflicts.
Regulatory & Disciplinary History
2 regulatory action(s) disclosed on Form ADV Item 11.
ResolvedTotal complaints on record: 0
Complaint ratio: 0.00 per 100 clients
Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.
Firm Details
| Legal Name | AXA INVESTMENT MANAGERS US INC |
| CRD Number | #113608 |
| SEC Registered | Yes |
| Registration Date | 2001-06-25 |
| States Registered | CT |
| Assets Under Management | $79.2B |
| Number of Clients | 87 |
| Employees | 167 |
| Compensation Type | fee-only |
| Last ADV Filing | 46111 |
Other Advisors in STAMFORD
SCHOLTZ & COMPANY, LLC
STAMFORD, CT · Since 2013
JACKSON, GRANT INVESTMENT ADVISERS, INC.
STAMFORD, CT · Since 1999
RENAISSANCE CAPITAL LLC
STAMFORD, CT · Since 1994
Frequently Asked Questions
Is AXA INVESTMENT MANAGERS US INC a fiduciary?
Yes. AXA INVESTMENT MANAGERS US INC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.
How does AXA INVESTMENT MANAGERS US INC charge clients?
AXA INVESTMENT MANAGERS US INC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.
Does AXA INVESTMENT MANAGERS US INC have any complaints?
No. AXA INVESTMENT MANAGERS US INC has zero complaints or disciplinary actions on file with the SEC or FINRA across 25 years of operation.
How does AXA INVESTMENT MANAGERS US INC compare to other advisors in STAMFORD?
AXA INVESTMENT MANAGERS US INC has a Red Flag Score of 72/100. There are 114 registered advisory firms in STAMFORD. Use our city page to compare firms side by side.
Where does this data come from?
All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.
Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46111. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.