-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GutFyDncj7QqCwlyt9KhhqETkRi7CmdVLWJBBszJ/0L6n1XeaAza3sIwkB4Bdod9 5kn4ABQZ+H2IwEQZXNFTTA== 0001085146-08-000554.txt : 20080425 0001085146-08-000554.hdr.sgml : 20080425 20080424215225 ACCESSION NUMBER: 0001085146-08-000554 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080425 DATE AS OF CHANGE: 20080424 EFFECTIVENESS DATE: 20080425 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WealthTrust Axiom LLC CENTRAL INDEX KEY: 0001425949 IRS NUMBER: 261094936 FISCAL YEAR END: 1208 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12715 FILM NUMBER: 08775804 BUSINESS ADDRESS: STREET 1: 3 RADNOR CORP CENTER STREET 2: SUITE 420 CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: 6106880050 MAIL ADDRESS: STREET 1: 3 RADNOR CORP CENTER STREET 2: SUITE 420 CITY: RADNOR STATE: PA ZIP: 19087 13F-HR 1 waxi1q08.txt WEALTHTRUST AXIOM LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2008 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Wealthtrust Axiom, LLC Address: 3 Radnor Corporate Center, Suite 420 Radnor, PA 19087-8760 13F File Number: 028-12715 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Albert C. Matt Title: Managing Director and President Phone: (610) 688-0050 Signature, Place, and Date of Signing: /s/ Albert C. Matt Radnor, PA April 11, 2008 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-11001 Formerly Axiom Asset Management LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 171 Form13F Information Table Value Total: $158,710 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 240 3036 SH SOLE 0 0 3036 A D C TELECOMMUNICATIONS COM NEW 000886309 172 14313 SH SOLE 0 0 14313 ABERDEEN ASIA PACIFIC INCOM COM 003009107 2918 470647 SH SOLE 0 0 470647 ABERDEEN GLOBAL INCOME FD IN COM 003013109 228 19000 SH SOLE 0 0 19000 ADVANCED MEDICAL OPTICS INC COM 00763M108 462 22760 SH SOLE 0 0 22760 ADVANCED MICRO DEVICES INC COM 007903107 150 25500 SH SOLE 0 0 25500 ALIGN TECHNOLOGY INC COM 016255101 162 14600 SH SOLE 0 0 14600 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 179 21873 SH SOLE 0 0 21873 AMERICAN SOFTWARE INC CL A 029683109 493 78753 SH SOLE 0 0 78753 APPLE INC COM 037833100 489 3411 SH SOLE 0 0 3411 AQUILA INC COM 03840P102 3530 1099925 SH SOLE 0 0 1099925 ARCHER DANIELS MIDLAND CO COM 039483102 360 8750 SH SOLE 0 0 8750 ARRIS GROUP INC COM 04269Q100 209 36000 SH SOLE 0 0 36000 AT&T INC COM 00206R102 2828 73854 SH SOLE 0 0 73854 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 2144 53532 SH SOLE 0 0 53532 ATMEL CORP COM 049513104 674 193803 SH SOLE 0 0 193803 AVIZA TECHNOLOGY INC COM 05381A105 23 42700 SH SOLE 0 0 42700 BANK OF AMERICA CORPORATION COM 060505104 563 14872 SH SOLE 0 0 14872 BEMIS INC COM 081437105 648 25517 SH SOLE 0 0 25517 BERKSHIRE HATHAWAY INC DEL CL B 084670207 210 47 SH SOLE 0 0 47 BLACKROCK DIVID ACHIEVRS TM COM 09250N107 1068 93720 SH SOLE 0 0 93720 BLACKROCK LTD DURATION INC T COM SHS 09249W101 281 19000 SH SOLE 0 0 19000 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 1285 153961 SH SOLE 0 0 153961 BOEING CO COM 097023105 391 5260 SH SOLE 0 0 5260 BP PLC SPONSORED ADR 055622104 422 6970 SH SOLE 0 0 6970 BTU INTL INC COM 056032105 448 48792 SH SOLE 0 0 48792 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 1105 23988 SH SOLE 0 0 23988 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 861 71124 SH SOLE 0 0 71124 CALIFORNIA MICRO DEVICES COR COM 130439102 166 56500 SH SOLE 0 0 56500 CHEMTURA CORP COM 163893100 293 39962 SH SOLE 0 0 39962 CHEVRON CORP NEW COM 166764100 2395 28059 SH SOLE 0 0 28059 CISCO SYS INC COM 17275R102 472 19600 SH SOLE 0 0 19600 CITIZENS COMMUNICATIONS CO COM 17453B101 312 29806 SH SOLE 0 0 29806 CMS ENERGY CORP COM 125896100 3464 255881 SH SOLE 0 0 255881 CONOCOPHILLIPS COM 20825C104 1083 14216 SH SOLE 0 0 14216 CONSOLIDATED EDISON INC COM 209115104 1291 32525 SH SOLE 0 0 32525 CYBEX INTL INC COM 23252E106 117 30900 SH SOLE 0 0 30900 DELPHAX TECHNOLOGIES INC COM 24712X106 77 193508 SH SOLE 0 0 193508 DOW CHEM CO COM 260543103 1739 47207 SH SOLE 0 0 47207 DREYFUS STRATEGIC MUNS INC COM 261932107 276 32500 SH SOLE 0 0 32500 DU PONT E I DE NEMOURS & CO COM 263534109 2207 47211 SH SOLE 0 0 47211 DUKE ENERGY CORP NEW COM 26441C105 264 14842 SH SOLE 0 0 14842 DUPONT FABROS TECHNOLOGY INC COM 26613Q106 718 43600 SH SOLE 0 0 43600 DYNEGY INC DEL CL A 26817G102 2434 308550 SH SOLE 0 0 308550 EATON VANCE LTD DUR INCOME F COM 27828H105 495 35200 SH SOLE 0 0 35200 EATON VANCE SR INCOME TR SH BEN INT 27826S103 285 44200 SH SOLE 0 0 44200 EATON VANCE TAX ADVT DIV INC COM 27828G107 300 12900 SH SOLE 0 0 12900 EATON VANCE TX ADV GLBL DIV COM 27828S101 2391 106897 SH SOLE 0 0 106897 EL PASO CORP COM 28336L109 212 12800 SH SOLE 0 0 12800 EMS TECHNOLOGIES INC COM 26873N108 1234 45500 SH SOLE 0 0 45500 ENERPLUS RES FD UNIT TR G NEW 29274D604 477 11000 SH SOLE 0 0 11000 ENPRO INDS INC COM 29355X107 286 9200 SH SOLE 0 0 9200 EXELON CORP COM 30161N101 428 5277 SH SOLE 0 0 5277 EXXON MOBIL CORP COM 30231G102 1280 15139 SH SOLE 0 0 15139 FIFTH THIRD BANCORP COM 316773100 872 41696 SH SOLE 0 0 41696 FLANDERS CORP COM 338494107 529 86957 SH SOLE 0 0 86957 FLEXTRONICS INTL LTD ORD Y2573F102 1583 168654 SH SOLE 0 0 168654 FOSTER L B CO COM 350060109 2946 68419 SH SOLE 0 0 68419 FSI INTL INC COM 302633102 25 19500 SH SOLE 0 0 19500 FURMANITE CORPORATION COM 361086101 4675 549370 SH SOLE 0 0 549370 GENERAL ELECTRIC CO COM 369604103 1247 33712 SH SOLE 0 0 33712 GEO GROUP INC COM 36159R103 383 13500 SH SOLE 0 0 13500 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 275 6484 SH SOLE 0 0 6484 GRAHAM CORP COM 384556106 2086 58580 SH SOLE 0 0 58580 GREAT PLAINS ENERGY INC COM 391164100 441 17900 SH SOLE 0 0 17900 GSE SYS INC COM 36227K106 135 16750 SH SOLE 0 0 16750 HEWLETT PACKARD CO COM 428236103 256 5624 SH SOLE 0 0 5624 HOLLIS-EDEN PHARMACEUTICALS COM 435902101 226 128800 SH SOLE 0 0 128800 HRPT PPTYS TR COM SH BEN INT 40426W101 98 14600 SH SOLE 0 0 14600 HSBC HLDGS PLC ADR A 1/40PF A 404280604 413 19000 SH SOLE 0 0 19000 IMMUNICON CORP DEL COM 45260A107 12 40000 SH SOLE 0 0 40000 ING CLARION GLB RE EST INCM COM 44982G104 577 40900 SH SOLE 0 0 40900 ING CLARION REAL EST INCOME COM SHS 449788108 1835 161840 SH SOLE 0 0 161840 ING PRIME RATE TR SH BEN INT 44977W106 90 16666 SH SOLE 0 0 16666 INNOVATIVE SOLUTIONS & SUPPO COM 45769N105 5329 504245 SH SOLE 0 0 504245 INTEGRYS ENERGY GROUP INC COM 45822P105 326 7010 SH SOLE 0 0 7010 INTEL CORP COM 458140100 1202 56790 SH SOLE 0 0 56790 INTERFACE INC CL A 458665106 1163 82822 SH SOLE 0 0 82822 INTERNATIONAL SHIPHOLDING CO COM NEW 460321201 324 16963 SH SOLE 0 0 16963 ION GEOPHYSICAL CORP COM 462044108 2341 169650 SH SOLE 0 0 169650 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 95 11100 SH SOLE 0 0 11100 JOHNSON & JOHNSON COM 478160104 444 6858 SH SOLE 0 0 6858 K TRON INTL INC COM 482730108 1393 11600 SH SOLE 0 0 11600 KEITHLEY INSTRS INC COM 487584104 198 20511 SH SOLE 0 0 20511 KIMBERLY CLARK CORP COM 494368103 235 3645 SH SOLE 0 0 3645 LA BARGE INC COM 502470107 331 27500 SH SOLE 0 0 27500 LSI INDS INC COM 50216C108 755 57184 SH SOLE 0 0 57184 MAGNETEK INC COM 559424106 2671 776720 SH SOLE 0 0 776720 MEDIA SCIENCES INTL INC COM 58446X107 967 268691 SH SOLE 0 0 268691 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 59 10500 SH SOLE 0 0 10500 MICROSOFT CORP COM 594918104 869 30634 SH SOLE 0 0 30634 MISONIX INC COM 604871103 544 141100 SH SOLE 0 0 141100 MOOG INC CL A 615394202 280 6644 SH SOLE 0 0 6644 MORGAN STANLEY QUALT MUN INCM 61745P734 257 21000 SH SOLE 0 0 21000 MOTOROLA INC COM 620076109 319 34350 SH SOLE 0 0 34350 NICOR INC COM 654086107 398 11900 SH SOLE 0 0 11900 NISOURCE INC COM 65473P105 568 33000 SH SOLE 0 0 33000 NOBLE CORPORATION SHS G65422100 605 12200 SH SOLE 0 0 12200 NOVARTIS A G SPONSORED ADR 66987V109 838 16363 SH SOLE 0 0 16363 NU HORIZONS ELECTRS CORP COM 669908105 209 33350 SH SOLE 0 0 33350 NUVEEN QUALITY PFD INCOME FD COM 67071S101 121 11800 SH SOLE 0 0 11800 NUVEEN SR INCOME FD COM 67067Y104 290 46166 SH SOLE 0 0 46166 OLIN CORP COM PAR $1 680665205 1750 88567 SH SOLE 0 0 88567 ORACLE CORP COM 68389X105 240 12300 SH SOLE 0 0 12300 ORTHOLOGIC CORP COM 68750J107 672 790590 SH SOLE 0 0 790590 PALATIN TECHNOLOGIES INC COM NEW 696077304 80 294100 SH SOLE 0 0 294100 PARK ELECTROCHEMICAL CORP COM 700416209 403 15625 SH SOLE 0 0 15625 PENN VA RESOURCES PARTNERS L COM 707884102 1032 41400 SH SOLE 0 0 41400 PENN WEST ENERGY TR TR UNIT 707885109 2583 92320 SH SOLE 0 0 92320 PERICOM SEMICONDUCTOR CORP COM 713831105 482 32900 SH SOLE 0 0 32900 PFIZER INC COM 717081103 4133 197496 SH SOLE 0 0 197496 PIONEER DRILLING CO COM 723655106 5998 376550 SH SOLE 0 0 376550 POWERSECURE INTL INC COM 73936N105 1006 85535 SH SOLE 0 0 85535 PPL CORP COM 69351T106 337 7350 SH SOLE 0 0 7350 PROCTER & GAMBLE CO COM 742718109 502 7173 SH SOLE 0 0 7173 PROGRESS ENERGY INC COM 743263105 2696 64670 SH SOLE 0 0 64670 PROLIANCE INTL INC COM 74340R104 263 144712 SH SOLE 0 0 144712 PROSHARES TR ULSHRT2000 GRW 74347R420 341 4100 SH SOLE 0 0 4100 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 219 35500 SH SOLE 0 0 35500 RAYTHEON CO COM NEW 755111507 351 5435 SH SOLE 0 0 5435 RETRACTABLE TECHNOLOGIES INC COM 76129W105 185 116100 SH SOLE 0 0 116100 RIT TECHNOLOGIES LTD ORD M8215N109 225 296850 SH SOLE 0 0 296850 RIVUS BOND FUND COM 769667106 659 38465 SH SOLE 0 0 38465 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 364 5290 SH SOLE 0 0 5290 RTI INTL METALS INC COM 74973W107 727 16090 SH SOLE 0 0 16090 SCHERING PLOUGH CORP COM 806605101 323 22450 SH SOLE 0 0 22450 SCHLUMBERGER LTD COM 806857108 1336 15360 SH SOLE 0 0 15360 SEABRIDGE GOLD INC COM 811916105 646 26918 SH SOLE 0 0 26918 SEMPRA ENERGY COM 816851109 200 3759 SH SOLE 0 0 3759 SIERRA PAC RES NEW COM 826428104 1099 87050 SH SOLE 0 0 87050 SOURCE INTERLINK COS INC COM NEW 836151209 44 23600 SH SOLE 0 0 23600 SOVEREIGN BANCORP INC COM 845905108 1157 124201 SH SOLE 0 0 124201 SPARTAN MTRS INC COM 846819100 443 52420 SH SOLE 0 0 52420 STEC INC COM 784774101 6250 1009835 SH SOLE 0 0 1009835 SUN MICROSYSTEMS INC COM NEW 866810203 1946 125325 SH SOLE 0 0 125325 SUNOPTA INC COM 8676EP108 991 194500 SH SOLE 0 0 194500 SUNTRUST BKS INC COM 867914103 666 12093 SH SOLE 0 0 12093 SUSQUEHANNA BANCSHARES INC P COM 869099101 398 19572 SH SOLE 0 0 19572 SYNERGETICS USA INC COM 87160G107 78 36700 SH SOLE 0 0 36700 SYNOVIS LIFE TECHNOLOGIES IN COM 87162G105 2067 131856 SH SOLE 0 0 131856 TARRANT APPAREL GROUP COM 876289109 8 12816 SH SOLE 0 0 12816 TECO ENERGY INC COM 872375100 228 14325 SH SOLE 0 0 14325 TEPPCO PARTNERS L P UT LTD PARTNER 872384102 226 6580 SH SOLE 0 0 6580 TERADYNE INC COM 880770102 298 24000 SH SOLE 0 0 24000 TETRA TECHNOLOGIES INC DEL COM 88162F105 1920 121250 SH SOLE 0 0 121250 TEXAS INSTRS INC COM 882508104 537 19000 SH SOLE 0 0 19000 THORNBURG MTG INC COM 885218107 37 31150 SH SOLE 0 0 31150 TIME WARNER INC COM 887317105 2573 183530 SH SOLE 0 0 183530 TOP IMAGE SYSTEMS LTD ORD M87896102 40 21000 SH SOLE 0 0 21000 TORONTO DOMINION BK ONT COM NEW 891160509 502 8190 SH SOLE 0 0 8190 TRANSOCEAN INC NEW SHS G90073100 208 1542 SH SOLE 0 0 1542 TRIQUINT SEMICONDUCTOR INC COM 89674K103 317 62765 SH SOLE 0 0 62765 UCN INC COM 902636109 38 12210 SH SOLE 0 0 12210 UFP TECHNOLOGIES INC COM 902673102 220 28350 SH SOLE 0 0 28350 ULTRATECH INC COM 904034105 898 93500 SH SOLE 0 0 93500 UNISYS CORP COM 909214108 3452 779300 SH SOLE 0 0 779300 UNITED AMER INDEMNITY LTD CL A 90933T109 1675 87000 SH SOLE 0 0 87000 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 975 29281 SH SOLE 0 0 29281 VAN KAMPEN MUN OPPORTUNITY T COM 920935103 174 12968 SH SOLE 0 0 12968 VAN KAMPEN PA VALUE MUN INCO COM 92112T108 846 64147 SH SOLE 0 0 64147 VAN KAMPEN SENIOR INCOME TR COM 920961109 1209 204968 SH SOLE 0 0 204968 VERIZON COMMUNICATIONS INC COM 92343V104 245 6732 SH SOLE 0 0 6732 VISHAY INTERTECHNOLOGY INC COM 928298108 877 96837 SH SOLE 0 0 96837 WELLS FARGO & CO NEW COM 949746101 471 16190 SH SOLE 0 0 16190 WESTAR ENERGY INC COM 95709T100 663 29150 SH SOLE 0 0 29150 WHITE ELECTR DESIGNS CORP COM 963801105 2500 568250 SH SOLE 0 0 568250 WPCS INTL INC COM NEW 92931L203 1563 266424 SH SOLE 0 0 266424 XCEL ENERGY INC COM 98389B100 1107 55522 SH SOLE 0 0 55522 XEROX CORP COM 984121103 2697 180206 SH SOLE 0 0 180206 ZONES INC COM 98976N103 151 18450 SH SOLE 0 0 18450 ZWEIG TOTAL RETURN FD INC COM 989837109 89 19250 SH SOLE 0 0 19250
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