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Investment Adviser Firm Summary
AXIOM INVESTMENT MANAGEMENT LLC ( CRD # 141516/SEC#:801-67131 )
AXIOM INVESTMENT MANAGEMENT LLC, ROCKEFELLER CAPITAL MANAGEMENT/VIOS ADVISORS
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved8/24/2006
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Arkansas1/2/2013
California9/11/2006
Colorado3/29/2011
Connecticut3/29/2011
District of Columbia1/2/2013
Florida8/24/2006
Georgia1/2/2013
Hawaii1/2/2013
Idaho3/29/2011
Illinois3/29/2011
Iowa3/29/2011
Louisiana3/29/2011
Maryland3/29/2011
Massachusetts3/29/2011
Michigan1/2/2013
New Hampshire1/2/2013
New Jersey5/13/2011
New York9/11/2006
North Carolina1/2/2013
Ohio3/29/2011
Pennsylvania3/29/2011
South Carolina3/29/2011
Tennessee3/29/2011
Texas3/29/2011
Utah3/29/2011
Vermont3/29/2011
Virgin Islands3/29/2011
Virginia3/29/2011
Washington3/29/2011
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.