-----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, Tlf7CIwWG4zn5D799hkVF4qxIUKzO276JwUvrVp3hyTkLsOKC9PL4i16Wm9bHRWf g2vQIg8o4RAIJSiz5ixEqw== 0001085146-10-000573.txt : 20100727 0001085146-10-000573.hdr.sgml : 20100727 20100726211938 ACCESSION NUMBER: 0001085146-10-000573 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100727 DATE AS OF CHANGE: 20100726 EFFECTIVENESS DATE: 20100727 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: 10970237 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 wtax2q10.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: June 30, 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 July 23, 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: 175 Form 13F Information Table Value Total: $126,260 (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 370 50000 SH SOLE 0 0 50000 ABERDEEN ASIA PACIFIC INCOM COM 003009107 2166 358042 SH SOLE 0 0 358042 ABERDEEN GLOBAL INCOME FD IN COM 003013109 224 19000 SH SOLE 0 0 19000 ADVANCED MICRO DEVICES INC COM 007903107 103 14103 SH SOLE 0 0 14103 AFFILIATED MANAGERS GROUP COM 008252108 741 12205 SH SOLE 0 0 12205 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 152 18713 SH SOLE 0 0 18713 AMERICAN SOFTWARE INC CL A 029683109 344 74494 SH SOLE 0 0 74494 AMTECH SYS INC COM PAR $0.01N 032332504 418 50144 SH SOLE 0 0 50144 ANNALY CAP MGMT INC COM 035710409 695 40550 SH SOLE 0 0 40550 APPLE INC COM 037833100 770 3063 SH SOLE 0 0 3063 ARRIS GROUP INC COM 04269Q100 112 11000 SH SOLE 0 0 11000 AT&T INC COM 00206R102 4031 166678 SH SOLE 0 0 166678 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 530 54950 SH SOLE 0 0 54950 ATMEL CORP COM 049513104 362 75500 SH SOLE 0 0 75500 BALDWIN TECHNOLOGY INC CL A 058264102 29 25000 SH SOLE 0 0 25000 BANCO SANTANDER SA ADR 05964H105 279 26604 SH SOLE 0 0 26604 BANK OF AMERICA CORPORATION COM 060505104 293 20433 SH SOLE 0 0 20433 BEMIS INC COM 081437105 648 24017 SH SOLE 0 0 24017 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 341 4285 SH SOLE 0 0 4285 BLACKROCK DIVID ACHIEVRS TM COM 09250N107 1108 134150 SH SOLE 0 0 134150 BLACKROCK LTD DURATION INC T COM SHS 09249W101 243 15000 SH SOLE 0 0 15000 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 1111 910941 SH SOLE 0 0 910941 BMP SUNSTONE CORP COM 05569C105 369 71800 SH SOLE 0 0 71800 BOEING CO COM 097023105 286 4560 SH SOLE 0 0 4560 BP PLC SPONSORED ADR 055622104 213 7405 SH SOLE 0 0 7405 BRISTOL MYERS SQUIBB CO COM 110122108 333 13386 SH SOLE 0 0 13386 BTU INTL INC COM 056032105 275 47395 SH SOLE 0 0 47395 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 439 57100 SH SOLE 0 0 57100 CAPITAL BK CORP COM 139793103 89 27500 SH None 0 0 0 CAPSTONE THERAPEUTICS CORP COM 14068E109 510 755065 SH SOLE 0 0 755065 CHEVRON CORP NEW COM 166764100 1332 19636 SH SOLE 0 0 19636 CISCO SYS INC COM 17275R102 517 24275 SH SOLE 0 0 24275 CMS ENERGY CORP COM 125896100 2416 164925 SH SOLE 0 0 164925 CONOCOPHILLIPS COM 20825C104 566 11547 SH SOLE 0 0 11547 CONSOLIDATED EDISON INC COM 209115104 1707 39628 SH SOLE 0 0 39628 CYBEX INTL INC COM 23252E106 42 29400 SH SOLE 0 0 29400 DOW CHEM CO COM 260543103 702 29625 SH SOLE 0 0 29625 DREAMS INC COM 261983209 15 10000 SH SOLE 0 0 10000 DREYFUS STRATEGIC MUNS INC COM 261932107 295 34500 SH SOLE 0 0 34500 DU PONT E I DE NEMOURS & CO COM 263534109 1500 43390 SH SOLE 0 0 43390 DUKE ENERGY CORP NEW COM 26441C105 1830 114400 SH SOLE 0 0 114400 DUPONT FABROS TECHNOLOGY INC COM 26613Q106 788 32100 SH SOLE 0 0 32100 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SH None 0 0 0 FIFTH THIRD BANCORP COM 316773100 574 46750 SH SOLE 0 0 46750 FLEXTRONICS INTL LTD ORD Y2573F102 763 136263 SH SOLE 0 0 136263 FLOTEK INDS INC DEL COM 343389102 12 10000 SH SOLE 0 0 10000 FORD MTR CO DEL COM PAR $0.01 345370860 197 19610 SH SOLE 0 0 19610 FOSTER L B CO COM 350060109 650 25086 SH SOLE 0 0 25086 FRONTIER COMMUNICATIONS CORP COM 35906A108 439 61806 SH SOLE 0 0 61806 FRONTIER OIL CORP COM 35914P105 1695 126025 SH SOLE 0 0 126025 FSI INTL INC COM 302633102 81 19500 SH SOLE 0 0 19500 FURMANITE CORPORATION COM 361086101 1739 438258 SH SOLE 0 0 438258 GENERAL ELECTRIC CO COM 369604103 2066 143322 SH SOLE 0 0 143322 GRAHAM CORP COM 384556106 184 12315 SH SOLE 0 0 12315 GREAT PLAINS ENERGY INC COM 391164100 2493 146478 SH SOLE 0 0 146478 GRIFFON CORP COM 398433102 193 17500 SH SOLE 0 0 17500 GSE SYS INC COM 36227K106 72 17747 SH SOLE 0 0 17747 HARBOR BIOSCIENCES INC COM 41150V103 4 16300 SH SOLE 0 0 16300 HEWLETT PACKARD CO COM 428236103 234 5428 SH SOLE 0 0 5428 HRPT PPTYS TR COM SH BEN INT 40426W101 80 13000 SH SOLE 0 0 13000 HSBC HLDGS PLC ADR A 1/40PF A 404280604 386 18000 SH SOLE 0 0 18000 INDIA FD INC COM 454089103 459 15193 SH SOLE 0 0 15193 ING CLARION GLB RE EST INCM COM 44982G104 782 121671 SH SOLE 0 0 121671 INNOVATIVE SOLUTIONS & SUPPO COM 45769N105 3744 851110 SH SOLE 0 0 851110 INTEGRYS ENERGY GROUP INC COM 45822P105 306 7010 SH SOLE 0 0 7010 INTEL CORP COM 458140100 445 22908 SH SOLE 0 0 22908 INTERFACE INC CL A 458665106 626 58336 SH SOLE 0 0 58336 INTERNATIONAL SHIPHOLDING CO COM NEW 460321201 452 20428 SH SOLE 0 0 20428 INVESCO QUALITY MUNI INC TRS COM 46133G107 272 21500 SH SOLE 0 0 21500 INVESCO VAN KAMPEN PA VALUE COM 46132K109 1003 73287 SH SOLE 0 0 73287 INVESCO VAN KAMPEN SR INC TR COM 46131H107 712 161902 SH SOLE 0 0 161902 ION GEOPHYSICAL CORP COM 462044108 368 105750 SH SOLE 0 0 105750 ISHARES TR DJ INTL SEL DIVD 464288448 228 8700 SH SOLE 0 0 8700 ISHARES TR INDEX BARCLYS TIPS BD 464287176 946 8850 SH SOLE 0 0 8850 JAPAN EQUITY FD INC COM 471057109 65 13000 SH SOLE 0 0 13000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 488 58545 SH SOLE 0 0 58545 JOHNSON & JOHNSON COM 478160104 381 6463 SH SOLE 0 0 6463 JPMORGAN CHASE & CO COM 46625H100 346 9463 SH SOLE 0 0 9463 KEITHLEY INSTRS INC COM 487584104 193 21900 SH SOLE 0 0 21900 KIMBERLY CLARK CORP COM 494368103 257 4245 SH SOLE 0 0 4245 KNIGHTSBRIDGE TANKERS LTD ORD G5299G106 444 25250 SH SOLE 0 0 25250 LILLY ELI & CO COM 532457108 4628 138150 SH SOLE 0 0 138150 LSI INDS INC COM 50216C108 967 198179 SH SOLE 0 0 198179 MAGNETEK INC COM 559424106 887 964215 SH SOLE 0 0 964215 MAIDEN HOLDINGS LTD SHS G5753U112 164 25000 SH SOLE 0 0 25000 MEDIA SCIENCES INTL INC COM 58446X107 101 300579 SH SOLE 0 0 300579 MEDTRONIC INC NOTE 1.500% 4/1 585055AL0 710 715000 PRN SOLE 0 0 715000 MERCK & CO INC NEW COM 58933Y105 846 24208 SH SOLE 0 0 24208 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 68 10500 SH SOLE 0 0 10500 MICROSOFT CORP COM 594918104 742 32268 SH SOLE 0 0 32268 MISONIX INC COM 604871103 322 145300 SH SOLE 0 0 145300 MOD PAC CORP COM 607495108 46 10500 SH None 0 0 0 MOTOROLA INC COM 620076109 139 21350 SH SOLE 0 0 21350 NICOR INC COM 654086107 319 7900 SH SOLE 0 0 7900 NISOURCE INC COM 65473P105 403 27800 SH SOLE 0 0 27800 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 365 11826 SH SOLE 0 0 11826 NORDIC AMERICAN TANKER SHIPP COM G65773106 2424 86300 SH SOLE 0 0 86300 NOVARTIS A G SPONSORED ADR 66987V109 885 18327 SH SOLE 0 0 18327 NU HORIZONS ELECTRS CORP COM 669908105 96 31500 SH SOLE 0 0 31500 NUVEEN PA INVT QUALITY MUN F COM 670972108 149 10687 SH SOLE 0 0 10687 NUVEEN QUALITY PFD INCOME FD COM 67071S101 91 12800 SH SOLE 0 0 12800 NUVEEN SR INCOME FD COM 67067Y104 244 36000 SH SOLE 0 0 36000 NV ENERGY INC COM 67073Y106 1368 115850 SH SOLE 0 0 115850 OGE ENERGY CORP COM 670837103 597 16350 SH SOLE 0 0 16350 OLIN CORP COM PAR $1 680665205 1038 57380 SH SOLE 0 0 57380 PALATIN TECHNOLOGIES INC COM NEW 696077304 57 322100 SH SOLE 0 0 322100 PARK ELECTROCHEMICAL CORP COM 700416209 259 10625 SH SOLE 0 0 10625 PENN VA RESOURCES PARTNERS L COM 707884102 1332 63740 SH SOLE 0 0 63740 PENN WEST ENERGY TR TR UNIT 707885109 1506 79190 SH SOLE 0 0 79190 PERCEPTRON INC COM 71361F100 151 34544 SH SOLE 0 0 34544 PERICOM SEMICONDUCTOR CORP COM 713831105 273 28450 SH SOLE 0 0 28450 PFIZER INC COM 717081103 2552 178998 SH SOLE 0 0 178998 PIONEER DRILLING CO COM 723655106 1887 332875 SH SOLE 0 0 332875 PLUG POWER INC COM 72919P103 4 10000 SH SOLE 0 0 10000 POWERSECURE INTL INC COM 73936N105 2198 241869 SH SOLE 0 0 241869 PPL CORP COM 69351T106 209 8405 SH SOLE 0 0 8405 PROCTER & GAMBLE CO COM 742718109 444 7412 SH SOLE 0 0 7412 PROGRESS ENERGY INC COM 743263105 2698 68795 SH SOLE 0 0 68795 PROSHARES TR PSHS ULSHT SP500 74347R883 900 23884 SH SOLE 0 0 23884 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 219 35500 SH SOLE 0 0 35500 RAYTHEON CO COM NEW 755111507 261 5400 SH SOLE 0 0 5400 RETRACTABLE TECHNOLOGIES INC COM 76129W105 247 153700 SH SOLE 0 0 153700 RIT TECHNOLOGIES LTD SHS M8215Q110 43 22776 SH SOLE 0 0 22776 RIVUS BOND FUND COM 769667106 793 45365 SH SOLE 0 0 45365 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 323 6450 SH SOLE 0 0 6450 SCHLUMBERGER LTD COM 806857108 791 14300 SH SOLE 0 0 14300 SEANERGY MARITIME HLDGS CORP SHS Y73760103 55 48000 SH SOLE 0 0 48000 SEQUENOM INC COM NEW 817337405 70 12000 SH SOLE 0 0 12000 SIRIUS XM RADIO INC COM 82967N108 11 11799 SH SOLE 0 0 11799 SMF ENERGY CORPORATION COM NEW 78453M208 46 38445 SH SOLE 0 0 38445 SONIC FDRY INC COM NEW 83545R207 756 103535 SH SOLE 0 0 103535 SPAN AMER MED SYS INC COM 846396109 179 10295 SH None 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 236 1941 SH SOLE 0 0 1941 STEC INC COM 784774101 1516 120725 SH SOLE 0 0 120725 SUNOCO INC COM 86764P109 229 6600 SH SOLE 0 0 6600 SUNOPTA INC COM 8676EP108 903 206350 SH SOLE 0 0 206350 SUSQUEHANNA BANCSHARES INC P COM 869099101 163 19572 SH SOLE 0 0 19572 SYNERGETICS USA INC COM 87160G107 301 113900 SH SOLE 0 0 113900 SYNOVIS LIFE TECHNOLOGIES IN COM 87162G105 7930 519012 SH SOLE 0 0 519012 TECO ENERGY INC COM 872375100 192 12775 SH SOLE 0 0 12775 TELUS CORP NON-VTG SHS 87971M202 432 11950 SH SOLE 0 0 11950 TERADYNE INC COM 880770102 170 17500 SH SOLE 0 0 17500 TETRA TECHNOLOGIES INC DEL COM 88162F105 855 94250 SH SOLE 0 0 94250 TEXAS INSTRS INC COM 882508104 235 10125 SH SOLE 0 0 10125 TIME WARNER INC COM NEW 887317303 1183 40944 SH SOLE 0 0 40944 TOP IMAGE SYSTEMS LTD ORD M87896102 118 132500 SH SOLE 0 0 132500 TORONTO DOMINION BK ONT COM NEW 891160509 619 9551 SH SOLE 0 0 9551 ULTRATECH INC COM 904034105 382 23500 SH SOLE 0 0 23500 UNISYS CORP COM NEW 909214306 1126 60900 SH SOLE 0 0 60900 UNITED AMER INDEMNITY LTD CL A 90933T109 346 47123 SH SOLE 0 0 47123 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 1058 32931 SH SOLE 0 0 32931 VALERO ENERGY CORP NEW COM 91913Y100 199 11100 SH SOLE 0 0 11100 VERIZON COMMUNICATIONS INC COM 92343V104 3573 127547 SH SOLE 0 0 127547 VISHAY INTERTECHNOLOGY INC COM 928298108 102 13286 SH SOLE 0 0 13286 WELLS FARGO & CO NEW COM 949746101 587 22958 SH SOLE 0 0 22958 WESTAR ENERGY INC COM 95709T100 681 31550 SH SOLE 0 0 31550 WPCS INTL INC COM NEW 92931L203 736 272715 SH SOLE 0 0 272715 XCEL ENERGY INC COM 98389B100 912 44269 SH SOLE 0 0 44269 XENONICS HLDGS INC COM 984117101 6 20000 SH SOLE 0 0 20000 XEROX CORP COM 984121103 766 95300 SH SOLE 0 0 95300
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