-----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, OYA8bPkwArvzkBTojdIReGajnUnVKreD1Tfnly2FSu5Cb9n5PdKDpMttXtsmsAui L/HEjQC4hj/QeZMmcEXXTQ== 0001085146-10-000361.txt : 20100504 0001085146-10-000361.hdr.sgml : 20100504 20100504101205 ACCESSION NUMBER: 0001085146-10-000361 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100504 DATE AS OF CHANGE: 20100504 EFFECTIVENESS DATE: 20100504 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: 10795316 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 wtax1q10.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, 2010 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 27, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 183 Form 13F Information Table Value Total: $142,809 (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 365 50000 SH SOLE 0 0 50000 ABERDEEN ASIA PACIFIC INCOM COM 003009107 2412 369984 SH SOLE 0 0 369984 ABERDEEN GLOBAL INCOME FD IN COM 003013109 224 19000 SH SOLE 0 0 19000 ADVANCED MICRO DEVICES INC COM 007903107 181 19603 SH SOLE 0 0 19603 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 159 19540 SH SOLE 0 0 19540 AMERICAN SOFTWARE INC CL A 029683109 498 85744 SH SOLE 0 0 85744 AMTECH SYS INC COM PAR $0.01N 032332504 556 55144 SH SOLE 0 0 55144 ANNALY CAP MGMT INC COM 035710409 606 35300 SH SOLE 0 0 35300 APPLE INC COM 037833100 705 3003 SH SOLE 0 0 3003 ARRIS GROUP INC COM 04269Q100 144 12000 SH SOLE 0 0 12000 AT&T INC COM 00206R102 4228 163623 SH SOLE 0 0 163623 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 739 53150 SH SOLE 0 0 53150 ATMEL CORP COM 049513104 415 82500 SH SOLE 0 0 82500 BALDWIN TECHNOLOGY INC CL A 058264102 30 25000 SH SOLE 0 0 25000 BANCO SANTANDER SA ADR 05964H105 328 24792 SH SOLE 0 0 24792 BANK OF AMERICA CORPORATION COM 060505104 397 22251 SH SOLE 0 0 22251 BEMIS INC COM 081437105 689 24017 SH SOLE 0 0 24017 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 368 4535 SH SOLE 0 0 4535 BHP BILLITON LTD SPONSORED ADR 088606108 248 3100 SH SOLE 0 0 3100 BLACKROCK DIVID ACHIEVRS TM COM 09250N107 1214 131619 SH SOLE 0 0 131619 BLACKROCK LTD DURATION INC T COM SHS 09249W101 244 15000 SH SOLE 0 0 15000 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 2187 889054 SH SOLE 0 0 889054 BMP SUNSTONE CORP COM 05569C105 363 71800 SH SOLE 0 0 71800 BOEING CO COM 097023105 367 5060 SH SOLE 0 0 5060 BP PLC SPONSORED ADR 055622104 2943 51570 SH SOLE 0 0 51570 BRISTOL MYERS SQUIBB CO COM 110122108 378 14161 SH SOLE 0 0 14161 BTU INTL INC COM 056032105 302 49495 SH SOLE 0 0 49495 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 1487 24755 SH SOLE 0 0 24755 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 522 57100 SH SOLE 0 0 57100 CALIFORNIA COASTAL CMNTYS IN COM NEW 129915203 15 13200 SH SOLE 0 0 13200 CAPITAL BK CORP COM 139793103 122 27500 SH None 0 0 0 CENTRAL FD CDA LTD CL A 153501101 151 10800 SH SOLE 0 0 10800 CHEVRON CORP NEW COM 166764100 1488 19636 SH SOLE 0 0 19636 CISCO SYS INC COM 17275R102 621 23870 SH SOLE 0 0 23870 CMS ENERGY CORP COM 125896100 3041 196725 SH SOLE 0 0 196725 CONOCOPHILLIPS COM 20825C104 595 11647 SH SOLE 0 0 11647 CONSOLIDATED EDISON INC COM 209115104 1742 39128 SH SOLE 0 0 39128 CYBEX INTL INC COM 23252E106 47 29400 SH SOLE 0 0 29400 DOW CHEM CO COM 260543103 893 30225 SH SOLE 0 0 30225 DREAMS INC COM 261983209 15 10000 SH SOLE 0 0 10000 DREYFUS STRATEGIC MUNS INC COM 261932107 293 34500 SH SOLE 0 0 34500 DU PONT E I DE NEMOURS & CO COM 263534109 1727 46390 SH SOLE 0 0 46390 DUKE ENERGY CORP NEW COM 26441C105 1842 112900 SH SOLE 0 0 112900 DUPONT FABROS TECHNOLOGY INC COM 26613Q106 1227 56850 SH SOLE 0 0 56850 DYNEGY INC DEL CL A 26817G102 244 193800 SH SOLE 0 0 193800 E M C CORP MASS COM 268648102 491 27230 SH SOLE 0 0 27230 EATON VANCE LTD DUR INCOME F COM 27828H105 469 29500 SH SOLE 0 0 29500 EATON VANCE SR INCOME TR SH BEN INT 27826S103 348 50500 SH SOLE 0 0 50500 EATON VANCE TAX ADVT DIV INC COM 27828G107 249 15400 SH SOLE 0 0 15400 EATON VANCE TX ADV GLBL DIV COM 27828S101 3806 274043 SH SOLE 0 0 274043 EL PASO CORP COM 28336L109 111 10300 SH SOLE 0 0 10300 EMCOR GROUP INC COM 29084Q100 233 9500 SH SOLE 0 0 9500 EMS TECHNOLOGIES INC COM 26873N108 1004 60500 SH SOLE 0 0 60500 ENERPLUS RES FD UNIT TR G NEW 29274D604 286 12090 SH SOLE 0 0 12090 ENTERPRISE PRODS PARTNERS L COM 293792107 781 22607 SH SOLE 0 0 22607 EUROSEAS LTD COM NEW Y23592200 120 31500 SH SOLE 0 0 31500 EVOLUTION PETROLEUM CORP COM 30049A107 773 166605 SH SOLE 0 0 166605 EXELON CORP COM 30161N101 325 7420 SH SOLE 0 0 7420 EXXON MOBIL CORP COM 30231G102 900 13437 SH SOLE 0 0 13437 F N B UNITED CORP COM 302519103 16 14000 SH None 0 0 0 FIFTH THIRD BANCORP COM 316773100 636 46950 SH SOLE 0 0 46950 FLEXTRONICS INTL LTD ORD Y2573F102 1107 141263 SH SOLE 0 0 141263 FLOTEK INDS INC DEL COM 343389102 12 10000 SH SOLE 0 0 10000 FORD MTR CO DEL COM PAR $0.01 345370860 171 13610 SH SOLE 0 0 13610 FOSTER L B CO COM 350060109 765 26486 SH SOLE 0 0 26486 FRONTIER COMMUNICATIONS CORP COM 35906A108 400 53806 SH SOLE 0 0 53806 FRONTIER OIL CORP COM 35914P105 1863 138025 SH SOLE 0 0 138025 FSI INTL INC COM 302633102 94 24500 SH SOLE 0 0 24500 FURMANITE CORPORATION COM 361086101 2281 439558 SH SOLE 0 0 439558 GENERAL ELECTRIC CO COM 369604103 2637 144922 SH SOLE 0 0 144922 GEO GROUP INC COM 36159R103 208 10500 SH SOLE 0 0 10500 GRAHAM CORP COM 384556106 316 17615 SH SOLE 0 0 17615 GREAT PLAINS ENERGY INC COM 391164100 2754 148332 SH SOLE 0 0 148332 GRIFFON CORP COM 398433102 143 11500 SH SOLE 0 0 11500 GSE SYS INC COM 36227K106 101 18750 SH SOLE 0 0 18750 HAMPTON ROADS BANKSHARES INC COM 409321106 16 10283 SH None 0 0 0 HARBOR BIOSCIENCES INC COM 41150V103 10 18800 SH SOLE 0 0 18800 HEWLETT PACKARD CO COM 428236103 272 5124 SH SOLE 0 0 5124 HRPT PPTYS TR COM SH BEN INT 40426W101 101 13000 SH SOLE 0 0 13000 HSBC HLDGS PLC ADR A 1/40PF A 404280604 410 18000 SH SOLE 0 0 18000 INDIA FD INC COM 454089103 507 16093 SH SOLE 0 0 16093 ING CLARION GLB RE EST INCM COM 44982G104 1209 159926 SH SOLE 0 0 159926 ING PRIME RATE TR SH BEN INT 44977W106 94 15000 SH SOLE 0 0 15000 INNOVATIVE SOLUTIONS & SUPPO COM 45769N105 5269 836485 SH SOLE 0 0 836485 INTEGRYS ENERGY GROUP INC COM 45822P105 332 7010 SH SOLE 0 0 7010 INTEL CORP COM 458140100 528 23690 SH SOLE 0 0 23690 INTERFACE INC CL A 458665106 729 63036 SH SOLE 0 0 63036 INTERNATIONAL SHIPHOLDING CO COM NEW 460321201 600 20428 SH SOLE 0 0 20428 ION GEOPHYSICAL CORP COM 462044108 539 109750 SH SOLE 0 0 109750 ISHARES TR INDEX BARCLYS TIPS BD 464287176 1028 9900 SH SOLE 0 0 9900 JAPAN EQUITY FD INC COM 471057109 75 13000 SH SOLE 0 0 13000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 707 80050 SH SOLE 0 0 80050 JOHNSON & JOHNSON COM 478160104 496 7613 SH SOLE 0 0 7613 JPMORGAN CHASE & CO COM 46625H100 441 9863 SH SOLE 0 0 9863 K TRON INTL INC COM 482730108 1274 8500 SH SOLE 0 0 8500 KEITHLEY INSTRS INC COM 487584104 157 23900 SH SOLE 0 0 23900 KIMBERLY CLARK CORP COM 494368103 244 3895 SH SOLE 0 0 3895 KNIGHTSBRIDGE TANKERS LTD ORD G5299G106 348 20551 SH SOLE 0 0 20551 LILLY ELI & CO COM 532457108 4975 137360 SH SOLE 0 0 137360 LSI INDS INC COM 50216C108 964 141372 SH SOLE 0 0 141372 MAGNETEK INC COM 559424106 1529 910215 SH SOLE 0 0 910215 MAIDEN HOLDINGS LTD SHS G5753U112 184 25000 SH SOLE 0 0 25000 MEDIA SCIENCES INTL INC COM 58446X107 110 276012 SH SOLE 0 0 276012 MERCK & CO INC NEW COM 58933Y105 930 24908 SH SOLE 0 0 24908 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 69 10500 SH SOLE 0 0 10500 MICROSOFT CORP COM 594918104 833 28462 SH SOLE 0 0 28462 MISONIX INC COM 604871103 320 144800 SH SOLE 0 0 144800 MOOG INC CL A 615394202 201 5701 SH SOLE 0 0 5701 MORGAN STANLEY QUALT MUN INCM 61745P734 271 21500 SH SOLE 0 0 21500 MOTOROLA INC COM 620076109 147 21050 SH SOLE 0 0 21050 NICOR INC COM 654086107 331 7900 SH SOLE 0 0 7900 NISOURCE INC COM 65473P105 439 27800 SH SOLE 0 0 27800 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 557 13326 SH SOLE 0 0 13326 NORDIC AMERICAN TANKER SHIPP COM G65773106 673 22250 SH SOLE 0 0 22250 NOVARTIS A G SPONSORED ADR 66987V109 991 18327 SH SOLE 0 0 18327 NU HORIZONS ELECTRS CORP COM 669908105 101 31500 SH SOLE 0 0 31500 NUVEEN PA INVT QUALITY MUN F COM 670972108 144 10672 SH SOLE 0 0 10672 NUVEEN QUALITY PFD INCOME FD COM 67071S101 92 12800 SH SOLE 0 0 12800 NUVEEN SR INCOME FD COM 67067Y104 285 36000 SH SOLE 0 0 36000 NV ENERGY INC COM 67073Y106 1453 117850 SH SOLE 0 0 117850 OGE ENERGY CORP COM 670837103 749 19250 SH SOLE 0 0 19250 OLIN CORP COM PAR $1 680665205 1622 82680 SH SOLE 0 0 82680 ORACLE CORP COM 68389X105 265 10310 SH SOLE 0 0 10310 ORTHOLOGIC CORP COM 68750J107 669 744065 SH SOLE 0 0 744065 PALATIN TECHNOLOGIES INC COM NEW 696077304 72 282100 SH SOLE 0 0 282100 PARK ELECTROCHEMICAL CORP COM 700416209 334 11625 SH SOLE 0 0 11625 PENN VA RESOURCES PARTNERS L COM 707884102 1686 71940 SH SOLE 0 0 71940 PENN WEST ENERGY TR TR UNIT 707885109 1651 78190 SH SOLE 0 0 78190 PERCEPTRON INC COM 71361F100 150 34544 SH SOLE 0 0 34544 PERICOM SEMICONDUCTOR CORP COM 713831105 320 29950 SH SOLE 0 0 29950 PFIZER INC COM 717081103 3078 179498 SH SOLE 0 0 179498 PIONEER DRILLING CO COM 723655106 1680 238750 SH SOLE 0 0 238750 POWERSECURE INTL INC COM 73936N105 2261 286980 SH SOLE 0 0 286980 PPL CORP COM 69351T106 207 7505 SH SOLE 0 0 7505 PROCTER & GAMBLE CO COM 742718109 468 7412 SH SOLE 0 0 7412 PROGRESS ENERGY INC COM 743263105 2727 69295 SH SOLE 0 0 69295 PROSHARES TR PSHS ULSH SC 600 74347R792 200 9200 SH SOLE 0 0 9200 PROSHARES TR PSHS ULSHT SP500 74347R883 1346 43459 SH SOLE 0 0 43459 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 221 35500 SH SOLE 0 0 35500 RAYTHEON CO COM NEW 755111507 308 5400 SH SOLE 0 0 5400 RETRACTABLE TECHNOLOGIES INC COM 76129W105 164 106200 SH SOLE 0 0 106200 RIT TECHNOLOGIES LTD SHS M8215Q110 49 23035 SH SOLE 0 0 23035 RIVUS BOND FUND COM 769667106 776 45365 SH SOLE 0 0 45365 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 396 6850 SH SOLE 0 0 6850 RTI INTL METALS INC COM 74973W107 245 8100 SH SOLE 0 0 8100 SCHLUMBERGER LTD COM 806857108 858 13530 SH SOLE 0 0 13530 SEANERGY MARITIME HLDGS CORP SHS Y73760103 48 42000 SH SOLE 0 0 42000 SEQUENOM INC COM NEW 817337405 75 12000 SH SOLE 0 0 12000 SIRIUS XM RADIO INC COM 82967N108 19 22799 SH SOLE 0 0 22799 SMF ENERGY CORPORATION COM NEW 78453M208 49 38445 SH SOLE 0 0 38445 SONIC FDRY INC COM NEW 83545R207 620 81588 SH SOLE 0 0 81588 SPAN AMER MED SYS INC COM 846396109 191 10295 SH None 0 0 0 STEC INC COM 784774101 1752 146325 SH SOLE 0 0 146325 SUNOCO INC COM 86764P109 210 7100 SH SOLE 0 0 7100 SUNOPTA INC COM 8676EP108 849 204600 SH SOLE 0 0 204600 SUSQUEHANNA BANCSHARES INC P COM 869099101 192 19572 SH SOLE 0 0 19572 SYNERGETICS USA INC COM 87160G107 194 116900 SH SOLE 0 0 116900 SYNOVIS LIFE TECHNOLOGIES IN COM 87162G105 7397 476320 SH SOLE 0 0 476320 TECO ENERGY INC COM 872375100 207 13075 SH SOLE 0 0 13075 TELUS CORP NON-VTG SHS 87971M202 445 12450 SH SOLE 0 0 12450 TERADYNE INC COM 880770102 234 21000 SH SOLE 0 0 21000 TETRA TECHNOLOGIES INC DEL COM 88162F105 1195 97800 SH SOLE 0 0 97800 TEXAS INSTRS INC COM 882508104 206 8450 SH SOLE 0 0 8450 TIME WARNER INC COM NEW 887317303 1382 44209 SH SOLE 0 0 44209 TOP IMAGE SYSTEMS LTD ORD M87896102 135 132500 SH SOLE 0 0 132500 TORONTO DOMINION BK ONT COM NEW 891160509 712 9551 SH SOLE 0 0 9551 ULTRATECH INC COM 904034105 367 27000 SH SOLE 0 0 27000 UNISYS CORP COM NEW 909214306 1672 47950 SH SOLE 0 0 47950 UNITED AMER INDEMNITY LTD CL A 90933T109 536 56030 SH SOLE 0 0 56030 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 1139 32231 SH SOLE 0 0 32231 VALERO ENERGY CORP NEW COM 91913Y100 317 16100 SH SOLE 0 0 16100 VAN KAMPEN PA VALUE MUN INCO COM 92112T108 1019 74287 SH SOLE 0 0 74287 VAN KAMPEN SENIOR INCOME TR COM 920961109 846 165902 SH SOLE 0 0 165902 VERIZON COMMUNICATIONS INC COM 92343V104 2000 64477 SH SOLE 0 0 64477 VISHAY INTERTECHNOLOGY INC COM 928298108 149 14586 SH SOLE 0 0 14586 WELLS FARGO & CO NEW COM 949746101 730 23458 SH SOLE 0 0 23458 WESTAR ENERGY INC COM 95709T100 703 31550 SH SOLE 0 0 31550 WHITE ELECTR DESIGNS CORP COM 963801105 84 12000 SH SOLE 0 0 12000 WPCS INTL INC COM NEW 92931L203 851 275591 SH SOLE 0 0 275591 XCEL ENERGY INC COM 98389B100 970 45769 SH SOLE 0 0 45769 XENONICS HLDGS INC COM 984117101 12 20000 SH SOLE 0 0 20000 XEROX CORP COM 984121103 1015 104120 SH SOLE 0 0 104120 ZWEIG TOTAL RETURN FD INC COM 989837109 38 10000 SH SOLE 0 0 10000
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