-----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, B0xyzr6oEsMSua2/sh7AuSU1tYh/ZRt4wWWBWWRrogBvSB9HsWmLCTIso2PgimVz jNscWJ2b2d7yv/pMdh9/lQ== 0001085146-08-001314.txt : 20081027 0001085146-08-001314.hdr.sgml : 20081027 20081027171111 ACCESSION NUMBER: 0001085146-08-001314 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081027 DATE AS OF CHANGE: 20081027 EFFECTIVENESS DATE: 20081027 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: 081142902 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 waxi3q08.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: September 30, 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 / Axiom Asset Management, 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 October 27, 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: 175 Form13F Information Table Value Total: $136,581 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- A D C TELECOMMUNICATIONS COM NEW 000886309 261 31000 SH SOLE 0 0 31000 ABERDEEN ASIA PACIFIC INCOM COM 003009107 2346 467356 SH SOLE 0 0 467356 ABERDEEN GLOBAL INCOME FD IN COM 003013109 187 19000 SH SOLE 0 0 19000 ADVANCED MEDICAL OPTICS INC COM 00763M108 358 20150 SH SOLE 0 0 20150 ADVANCED MICRO DEVICES INC COM 007903107 131 25000 SH SOLE 0 0 25000 ALIGN TECHNOLOGY INC COM 016255101 174 16100 SH SOLE 0 0 16100 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 147 19540 SH SOLE 0 0 19540 AMERICAN SOFTWARE INC CL A 029683109 538 98754 SH SOLE 0 0 98754 ANNALY CAP MGMT INC COM 035710409 346 25750 SH SOLE 0 0 25750 APPLE INC COM 037833100 377 3323 SH SOLE 0 0 3323 ARRIS GROUP INC COM 04269Q100 262 34000 SH SOLE 0 0 34000 AT&T INC COM 00206R102 2054 73602 SH SOLE 0 0 73602 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 2857 112107 SH SOLE 0 0 112107 ATMEL CORP COM 049513104 611 180303 SH SOLE 0 0 180303 AVIZA TECHNOLOGY INC COM 05381A105 17 44700 SH SOLE 0 0 44700 BANK OF AMERICA CORPORATION COM 060505104 476 13615 SH SOLE 0 0 13615 BEACON ROOFING SUPPLY INC COM 073685109 249 16000 SH SOLE 0 0 16000 BEMIS INC COM 081437105 655 25017 SH SOLE 0 0 25017 BERKSHIRE HATHAWAY INC DEL CL B 084670207 228 52 SH SOLE 0 0 52 BLACKROCK DIVID ACHIEVRS TM COM 09250N107 838 86450 SH SOLE 0 0 86450 BLACKROCK LTD DURATION INC T COM SHS 09249W101 237 19000 SH SOLE 0 0 19000 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 1670 474561 SH SOLE 0 0 474561 BOEING CO COM 097023105 301 5260 SH SOLE 0 0 5260 BP PLC SPONSORED ADR 055622104 361 7210 SH SOLE 0 0 7210 BTU INTL INC COM 056032105 417 47395 SH SOLE 0 0 47395 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 984 26538 SH SOLE 0 0 26538 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 592 68600 SH SOLE 0 0 68600 CALIFORNIA MICRO DEVICES COR COM 130439102 216 72500 SH SOLE 0 0 72500 CHEMTURA CORP COM 163893100 144 31646 SH SOLE 0 0 31646 CHEVRON CORP NEW COM 166764100 2162 26217 SH SOLE 0 0 26217 CISCO SYS INC COM 17275R102 446 19813 SH SOLE 0 0 19813 CMS ENERGY CORP COM 125896100 3098 248444 SH SOLE 0 0 248444 CONOCOPHILLIPS COM 20825C104 850 11609 SH SOLE 0 0 11609 CONSOLIDATED EDISON INC COM 209115104 1766 41125 SH SOLE 0 0 41125 CYBEX INTL INC COM 23252E106 92 30900 SH SOLE 0 0 30900 DOW CHEM CO COM 260543103 1324 41675 SH SOLE 0 0 41675 DREYFUS STRATEGIC MUNS INC COM 261932107 219 32500 SH SOLE 0 0 32500 DU PONT E I DE NEMOURS & CO COM 263534109 1727 42868 SH SOLE 0 0 42868 DUKE ENERGY CORP NEW COM 26441C105 265 15242 SH SOLE 0 0 15242 DUPONT FABROS TECHNOLOGY INC COM 26613Q106 672 44122 SH SOLE 0 0 44122 DYNEGY INC DEL CL A 26817G102 937 261800 SH SOLE 0 0 261800 E M C CORP MASS COM 268648102 368 30820 SH SOLE 0 0 30820 EATON VANCE LTD DUR INCOME F COM 27828H105 380 34500 SH SOLE 0 0 34500 EATON VANCE SR INCOME TR SH BEN INT 27826S103 210 43000 SH SOLE 0 0 43000 EATON VANCE TAX ADVT DIV INC COM 27828G107 217 13900 SH SOLE 0 0 13900 EATON VANCE TX ADV GLBL DIV COM 27828S101 2080 144378 SH SOLE 0 0 144378 EL PASO CORP COM 28336L109 131 10300 SH SOLE 0 0 10300 EMS TECHNOLOGIES INC COM 26873N108 950 42600 SH SOLE 0 0 42600 ENERPLUS RES FD UNIT TR G NEW 29274D604 390 10500 SH SOLE 0 0 10500 EUROSEAS LTD COM NEW Y23592200 227 28500 SH SOLE 0 0 28500 EVOLUTION PETROLEUM CORP COM 30049A107 58 19300 SH SOLE 0 0 19300 EXELON CORP COM 30161N101 309 4945 SH SOLE 0 0 4945 EXXON MOBIL CORP COM 30231G102 1178 15175 SH SOLE 0 0 15175 FIFTH THIRD BANCORP COM 316773100 739 62146 SH SOLE 0 0 62146 FLANDERS CORP COM 338494107 561 89157 SH SOLE 0 0 89157 FLEXTRONICS INTL LTD ORD Y2573F102 955 134899 SH SOLE 0 0 134899 FOSTER L B CO COM 350060109 2042 67144 SH SOLE 0 0 67144 FRONTIER COMMUNICATIONS CORP COM 35906A108 394 34306 SH SOLE 0 0 34306 FRONTIER OIL CORP COM 35914P105 563 30600 SH SOLE 0 0 30600 FSI INTL INC COM 302633102 14 19500 SH SOLE 0 0 19500 FURMANITE CORPORATION COM 361086101 4089 395458 SH SOLE 0 0 395458 GENERAL ELECTRIC CO COM 369604103 3813 149533 SH SOLE 0 0 149533 GEO GROUP INC COM 36159R103 262 13000 SH SOLE 0 0 13000 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 281 6484 SH SOLE 0 0 6484 GRAHAM CORP COM 384556106 759 14035 SH SOLE 0 0 14035 GREAT PLAINS ENERGY INC COM 391164100 3316 149239 SH SOLE 0 0 149239 GRIFFON CORP COM 398433102 130 14500 SH SOLE 0 0 14500 GSE SYS INC COM 36227K106 120 17250 SH SOLE 0 0 17250 HEWLETT PACKARD CO COM 428236103 278 6024 SH SOLE 0 0 6024 HOLLIS-EDEN PHARMACEUTICALS COM 435902101 164 136300 SH SOLE 0 0 136300 HRPT PPTYS TR COM SH BEN INT 40426W101 86 12600 SH SOLE 0 0 12600 HSBC HLDGS PLC ADR A 1/40PF A 404280604 332 19000 SH SOLE 0 0 19000 ING CLARION GLB RE EST INCM COM 44982G104 368 41950 SH SOLE 0 0 41950 ING CLARION REAL EST INCOME COM SHS 449788108 1273 154370 SH SOLE 0 0 154370 ING PRIME RATE TR SH BEN INT 44977W106 72 16666 SH SOLE 0 0 16666 INNOVATIVE SOLUTIONS & SUPPO COM 45769N105 2875 527645 SH SOLE 0 0 527645 INTEGRYS ENERGY GROUP INC COM 45822P105 350 7010 SH SOLE 0 0 7010 INTEL CORP COM 458140100 523 27940 SH SOLE 0 0 27940 INTERFACE INC CL A 458665106 971 85433 SH SOLE 0 0 85433 INTERNATIONAL BUSINESS MACHS COM 459200101 206 1765 SH SOLE 0 0 1765 INTERNATIONAL SHIPHOLDING CO COM NEW 460321201 489 22338 SH SOLE 0 0 22338 ION GEOPHYSICAL CORP COM 462044108 1813 127800 SH SOLE 0 0 127800 JAPAN EQUITY FD INC COM 471057109 59 11000 SH SOLE 0 0 11000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 341 46600 SH SOLE 0 0 46600 JOHNSON & JOHNSON COM 478160104 516 7459 SH SOLE 0 0 7459 JPMORGAN & CHASE & CO COM 46625H100 598 12823 SH SOLE 0 0 12823 K TRON INTL INC COM 482730108 1262 9800 SH SOLE 0 0 9800 K V PHARMACEUTICAL CO CL A 482740206 209 9224 SH SOLE 0 0 9224 KEITHLEY INSTRS INC COM 487584104 170 20400 SH SOLE 0 0 20400 KIMBERLY CLARK CORP COM 494368103 236 3645 SH SOLE 0 0 3645 LA BARGE INC COM 502470107 361 24000 SH SOLE 0 0 24000 LSI INDS INC COM 50216C108 1449 175312 SH SOLE 0 0 175312 MAGNETEK INC COM 559424106 2934 724595 SH SOLE 0 0 724595 MEDIA SCIENCES INTL INC COM 58446X107 560 339692 SH SOLE 0 0 339692 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 52 10500 SH SOLE 0 0 10500 MICROSOFT CORP COM 594918104 775 29069 SH SOLE 0 0 29069 MISONIX INC COM 604871103 285 133600 SH SOLE 0 0 133600 MOOG INC CL A 615394202 284 6644 SH SOLE 0 0 6644 MORGAN STANLEY QUALT MUN INCM 61745P734 200 21000 SH SOLE 0 0 21000 MOTOROLA INC COM 620076109 228 32050 SH SOLE 0 0 32050 NICOR INC COM 654086107 439 9900 SH SOLE 0 0 9900 NISOURCE INC COM 65473P105 466 31600 SH SOLE 0 0 31600 NOBLE CORPORATION SHS G65422100 622 14187 SH SOLE 0 0 14187 NOVARTIS A G SPONSORED ADR 66987V109 842 15950 SH SOLE 0 0 15950 NU HORIZONS ELECTRS CORP COM 669908105 119 29850 SH SOLE 0 0 29850 NUVEEN QUALITY PFD INCOME FD COM 67071S101 62 11300 SH SOLE 0 0 11300 NUVEEN SR INCOME FD COM 67067Y104 214 45166 SH SOLE 0 0 45166 ORACLE CORP COM 68389X105 270 13300 SH SOLE 0 0 13300 ORTHOLOGIC CORP COM 68750J107 672 768165 SH SOLE 0 0 768165 PALATIN TECHNOLOGIES INC COM NEW 696077304 42 301100 SH SOLE 0 0 301100 PARK ELECTROCHEMICAL CORP COM 700416209 342 14125 SH SOLE 0 0 14125 PARKER HANNIFIN CORP COM 701094104 810 15300 SH SOLE 0 0 15300 PENN VA RESOURCES PARTNERS L COM 707884102 699 42400 SH SOLE 0 0 42400 PENN WEST ENERGY TR TR UNIT 707885109 2055 85300 SH SOLE 0 0 85300 PERICOM SEMICONDUCTOR CORP COM 713831105 297 28300 SH SOLE 0 0 28300 PFIZER INC COM 717081103 3626 196674 SH SOLE 0 0 196674 PHOTOMEDEX INC COM 719358103 5 11950 SH SOLE 0 0 11950 PIONEER DRILLING CO COM 723655106 3472 261100 SH SOLE 0 0 261100 POWERSECURE INTL INC COM 73936N105 820 135330 SH SOLE 0 0 135330 PPL CORP COM 69351T106 248 6700 SH SOLE 0 0 6700 PROCTER & GAMBLE CO COM 742718109 502 7210 SH SOLE 0 0 7210 PROGRESS ENERGY INC COM 743263105 2832 65670 SH SOLE 0 0 65670 PROLIANCE INTL INC COM 74340R104 103 137775 SH SOLE 0 0 137775 PROSHARES TR ULSHRT2000 GRW 74347R420 325 4100 SH SOLE 0 0 4100 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 191 35500 SH SOLE 0 0 35500 RAYTHEON CO COM NEW 755111507 290 5435 SH SOLE 0 0 5435 RETRACTABLE TECHNOLOGIES INC COM 76129W105 149 107600 SH SOLE 0 0 107600 RIT TECHNOLOGIES LTD ORD M8215N109 159 234109 SH SOLE 0 0 234109 RIVUS BOND FUND COM 769667106 660 47165 SH SOLE 0 0 47165 ROGERS CORP COM 775133101 218 5900 SH SOLE 0 0 5900 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 253 4300 SH SOLE 0 0 4300 RTI INTL METALS INC COM 74973W107 344 17590 SH SOLE 0 0 17590 SANMINA SCI CORP COM 800907107 29 20730 SH SOLE 0 0 20730 SCHERING PLOUGH CORP COM 806605101 414 22450 SH SOLE 0 0 22450 SCHLUMBERGER LTD COM 806857108 1191 15260 SH SOLE 0 0 15260 SEANERGY MARITIME CORP SHS Y73760103 438 49500 SH SOLE 0 0 49500 SIERRA PAC RES NEW COM 826428104 1298 135550 SH SOLE 0 0 135550 SIRIUS XM RADIO INC COM 82967N108 6 10799 SH SOLE 0 0 10799 SOURCE INTERLINK COS INC COM NEW 836151209 24 23600 SH SOLE 0 0 23600 SOVEREIGN BANCORP INC COM 845905108 480 121651 SH SOLE 0 0 121651 SPAN AMER MED SYS INC COM 846396109 122 10295 SH None 0 0 0 SPARTAN MTRS INC COM 846819100 252 79420 SH SOLE 0 0 79420 STEC INC COM 784774101 6689 868785 SH SOLE 0 0 868785 SUN MICROSYSTEMS INC COM NEW 866810203 722 95000 SH SOLE 0 0 95000 SUNOPTA INC COM 8676EP108 1199 194800 SH SOLE 0 0 194800 SUNTRUST BKS INC COM 867914103 443 9853 SH SOLE 0 0 9853 SUSQUEHANNA BANCSHARES INC P COM 869099101 382 19572 SH SOLE 0 0 19572 SYNERGETICS USA INC COM 87160G107 68 34200 SH SOLE 0 0 34200 SYNOVIS LIFE TECHNOLOGIES IN COM 87162G105 2209 117407 SH SOLE 0 0 117407 TARRANT APPAREL GROUP COM 876289109 8 12816 SH SOLE 0 0 12816 TECO ENERGY INC COM 872375100 225 14325 SH SOLE 0 0 14325 TERADYNE INC COM 880770102 191 24500 SH SOLE 0 0 24500 TETRA TECHNOLOGIES INC DEL COM 88162F105 1209 87300 SH SOLE 0 0 87300 TEXAS INSTRS INC COM 882508104 325 15150 SH SOLE 0 0 15150 TIME WARNER INC COM 887317105 2416 184335 SH SOLE 0 0 184335 TOP IMAGE SYSTEMS LTD ORD M87896102 72 43300 SH SOLE 0 0 43300 TORONTO DOMINION BK ONT COM NEW 891160509 517 8481 SH SOLE 0 0 8481 TRIQUINT SEMICONDUCTOR INC COM 89674K103 200 41765 SH SOLE 0 0 41765 UCN INC COM 902636109 15 11610 SH SOLE 0 0 11610 ULTRATECH INC COM 904034105 834 69000 SH SOLE 0 0 69000 UNISYS CORP COM 909214108 1920 698400 SH SOLE 0 0 698400 UNITED AMER INDEMNITY LTD CL A 90933T109 1395 97100 SH SOLE 0 0 97100 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 1045 26881 SH SOLE 0 0 26881 VAN KAMPEN MUN OPPORTUNITY T COM 920935103 142 12968 SH SOLE 0 0 12968 VAN KAMPEN PA VALUE MUN INCO COM 92112T108 886 78147 SH SOLE 0 0 78147 VAN KAMPEN SENIOR INCOME TR COM 920961109 803 196968 SH SOLE 0 0 196968 VISHAY INTERTECHNOLOGY INC COM 928298108 650 98237 SH SOLE 0 0 98237 WELLS FARGO & CO NEW COM 949746101 1288 34341 SH SOLE 0 0 34341 WESTAR ENERGY INC COM 95709T100 726 31550 SH SOLE 0 0 31550 WHITE ELECTR DESIGNS CORP COM 963801105 2747 549500 SH SOLE 0 0 549500 WPCS INTL INC COM NEW 92931L203 1240 306174 SH SOLE 0 0 306174 XCEL ENERGY INC COM 98389B100 1109 55522 SH SOLE 0 0 55522 XEROX CORP COM 984121103 1848 160314 SH SOLE 0 0 160314 ZONES INC COM 98976N103 148 17950 SH SOLE 0 0 17950 ZWEIG TOTAL RETURN FD INC COM 989837109 61 16750 SH SOLE 0 0 16750
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