0001085146-11-001101.txt : 20111104 0001085146-11-001101.hdr.sgml : 20111104 20111104091614 ACCESSION NUMBER: 0001085146-11-001101 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111104 DATE AS OF CHANGE: 20111104 EFFECTIVENESS DATE: 20111104 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: 111179506 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 wtax3q2011.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, 2011 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: 4 Radnor Corporate Center, Suite 520 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 November 04, 2011 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: 162 Form 13F Information Table Value Total: $161,195 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABERDEEN ASIA PACIFIC INCOM COM 003009107 2363 343009 SH SOLE 0 0 343009 ABERDEEN GLOBAL INCOME FD IN COM 003013109 218 17500 SH SOLE 0 0 17500 AFFILIATED MANAGERS GROUP COM 008252108 390 5000 SH SOLE 0 0 5000 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 201 25312 SH SOLE 0 0 25312 ALLIED MOTION TECHNOLOGIES I COM 019330109 54 11000 SH SOLE 0 0 11000 AMERICAN SOFTWARE INC CL A 029683109 517 71365 SH SOLE 0 0 71365 ANNALY CAP MGMT INC COM 035710409 1288 77473 SH SOLE 0 0 77473 APPLE INC COM 037833100 1130 2964 SH SOLE 0 0 2964 ARGAN INC COM 04010E109 119 11700 SH SOLE 0 0 11700 AT&T INC COM 00206R102 4897 171737 SH SOLE 0 0 171737 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 1037 34750 SH SOLE 0 0 34750 BALDWIN TECHNOLOGY INC CL A 058264102 29 25000 SH SOLE 0 0 25000 BANCO SANTANDER SA ADR 05964H105 313 38937 SH SOLE 0 0 38937 BANK OF AMERICA CORPORATION COM 060505104 134 21992 SH SOLE 0 0 21992 BEMIS INC COM 081437105 691 23590 SH SOLE 0 0 23590 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 320 4508 SH SOLE 0 0 4508 BLACKROCK EQUITY DIV TRUST COM 09250N107 919 105924 SH SOLE 0 0 105924 BLACKROCK LTD DURATION INC T COM SHS 09249W101 222 14000 SH SOLE 0 0 14000 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 486 810001 SH SOLE 0 0 810001 BOEING CO COM 097023105 457 7560 SH SOLE 0 0 7560 BRISTOL MYERS SQUIBB CO COM 110122108 1352 43099 SH SOLE 0 0 43099 BTU INTL INC COM 056032105 338 76345 SH SOLE 0 0 76345 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 331 5300 SH SOLE 0 0 5300 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 379 47638 SH SOLE 0 0 47638 CAPSTEAD MTG CORP COM NO PAR 14067E506 192 16662 SH SOLE 0 0 16662 CBRE CLARION GLOBAL REAL EST COM 12504G100 998 149183 SH SOLE 0 0 149183 CHEVRON CORP NEW COM 166764100 2468 26663 SH SOLE 0 0 26663 CISCO SYS INC COM 17275R102 3958 255414 SH SOLE 0 0 255414 CLOUD PEAK ENERGY INC COM 18911Q102 169 10000 SH SOLE 0 0 10000 CMS ENERGY CORP COM 125896100 2853 144198 SH SOLE 0 0 144198 CONOCOPHILLIPS COM 20825C104 645 10201 SH SOLE 0 0 10201 CONSOLIDATED EDISON INC COM 209115104 2148 37678 SH SOLE 0 0 37678 CYBEX INTL INC COM 23252E106 7 12400 SH SOLE 0 0 12400 DOW CHEM CO COM 260543103 623 27773 SH SOLE 0 0 27773 DREAMS INC COM 261983209 20 10000 SH SOLE 0 0 10000 DREYFUS STRATEGIC MUNS INC COM 261932107 289 34000 SH SOLE 0 0 34000 DU PONT E I DE NEMOURS & CO COM 263534109 1717 42975 SH SOLE 0 0 42975 DUKE ENERGY CORP NEW COM 26441C105 2242 112165 SH SOLE 0 0 112165 DUPONT FABROS TECHNOLOGY INC COM 26613Q106 685 34800 SH SOLE 0 0 34800 E M C CORP MASS COM 268648102 505 24082 SH SOLE 0 0 24082 EATON VANCE LTD DUR INCOME F COM 27828H105 381 26000 SH SOLE 0 0 26000 EATON VANCE SR INCOME TR SH BEN INT 27826S103 325 51615 SH SOLE 0 0 51615 EATON VANCE TAX ADVT DIV INC COM 27828G107 190 13900 SH SOLE 0 0 13900 EATON VANCE TX ADV GLBL DIV COM 27828S101 2388 196098 SH SOLE 0 0 196098 EGA EMERGING GLOBAL SHS TR EGS INDI INF ETF 268461845 949 66875 SH SOLE 0 0 66875 ENERPLUS CORP COM 292766102 368 15021 SH SOLE 0 0 15021 ENTERPRISE PRODS PARTNERS L COM 293792107 685 17072 SH SOLE 0 0 17072 EUROSEAS LTD COM NEW Y23592200 134 42500 SH SOLE 0 0 42500 EVOLUTION PETROLEUM CORP COM 30049A107 1453 205855 SH SOLE 0 0 205855 EXELON CORP COM 30161N101 5284 124010 SH SOLE 0 0 124010 EXXON MOBIL CORP COM 30231G102 1070 14740 SH SOLE 0 0 14740 F N B UNITED CORP COM 302519103 4 14000 SH None 0 0 0 FIFTH THIRD BANCORP COM 316773100 378 37500 SH SOLE 0 0 37500 FLEXTRONICS INTL LTD ORD Y2573F102 690 122602 SH SOLE 0 0 122602 FORD MTR CO DEL COM PAR $0.01 345370860 112 11600 SH SOLE 0 0 11600 FOSTER L B CO COM 350060109 581 26172 SH SOLE 0 0 26172 FRANCE TELECOM SPONSORED ADR 35177Q105 257 15700 SH SOLE 0 0 15700 FRONTIER COMMUNICATIONS CORP COM 35906A108 4212 689438 SH SOLE 0 0 689438 FSI INTL INC COM 302633102 30 16000 SH SOLE 0 0 16000 FURMANITE CORPORATION COM 361086101 2774 512851 SH SOLE 0 0 512851 GENERAL ELECTRIC CO COM 369604103 2827 185803 SH SOLE 0 0 185803 GLOBAL INDEMNITY PLC SHS G39319101 323 18956 SH SOLE 0 0 18956 GRAHAM CORP COM 384556106 221 13341 SH SOLE 0 0 13341 GREAT PLAINS ENERGY INC COM 391164100 2346 121591 SH SOLE 0 0 121591 GRIFFON CORP COM 398433102 347 42500 SH SOLE 0 0 42500 GSE SYS INC COM 36227K106 30 17500 SH SOLE 0 0 17500 HSBC HLDGS PLC ADR A 1/40PF A 404280604 398 17500 SH SOLE 0 0 17500 INDIA FD INC COM 454089103 220 9596 SH SOLE 0 0 9596 INNOVATIVE SOLUTIONS & SUPPO COM 45769N105 5716 1183450 SH SOLE 0 0 1183450 INTEGRYS ENERGY GROUP INC COM 45822P105 340 7010 SH SOLE 0 0 7010 INTEL CORP COM 458140100 2263 106071 SH SOLE 0 0 106071 INTERNATIONAL SHIPHOLDING CO COM NEW 460321201 654 35403 SH SOLE 0 0 35403 INVESCO QUALITY MUNI INC TRS COM 46133G107 269 21000 SH SOLE 0 0 21000 INVESCO VAN KAMPEN PA VALUE COM 46132K109 990 72761 SH SOLE 0 0 72761 INVESCO VAN KAMPEN SR INC TR COM 46131H107 582 138003 SH SOLE 0 0 138003 ION GEOPHYSICAL CORP COM 462044108 257 54500 SH SOLE 0 0 54500 IRELAND BK SPONSORED ADR 46267Q103 10 10000 SH SOLE 0 0 10000 ISHARES TR BARCLYS TIPS BD 464287176 857 7504 SH SOLE 0 0 7504 ISHARES TR DJ INTL SEL DIVD 464288448 337 11900 SH SOLE 0 0 11900 JAPAN EQUITY FD INC COM 471057109 52 10000 SH SOLE 0 0 10000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 281 37756 SH SOLE 0 0 37756 JOHNSON & JOHNSON COM 478160104 506 7954 SH SOLE 0 0 7954 JPMORGAN CHASE & CO COM 46625H100 230 7669 SH SOLE 0 0 7669 KIMBERLY CLARK CORP COM 494368103 310 4374 SH SOLE 0 0 4374 LANDEC CORP COM 514766104 506 95268 SH SOLE 0 0 95268 LILLY ELI & CO COM 532457108 5143 139115 SH SOLE 0 0 139115 LML PMT SYS INC COM 50208P109 88 50000 SH SOLE 0 0 50000 LSI INDS INC COM 50216C108 2144 344250 SH SOLE 0 0 344250 MAGNETEK INC COM 559424106 1141 1240409 SH SOLE 0 0 1240409 MAIDEN HOLDINGS LTD SHS G5753U112 184 25000 SH SOLE 0 0 25000 MANITEX INTL INC COM 563420108 153 43000 SH SOLE 0 0 43000 MERCK & CO INC NEW COM 58933Y105 2822 86311 SH SOLE 0 0 86311 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 66 10500 SH SOLE 0 0 10500 MICROSOFT CORP COM 594918104 874 35121 SH SOLE 0 0 35121 MISONIX INC COM 604871103 270 140200 SH SOLE 0 0 140200 MOD PAC CORP COM 607495108 59 10500 SH None 0 0 0 NICOR INC COM 654086107 360 6550 SH SOLE 0 0 6550 NISOURCE INC COM 65473P105 544 25465 SH SOLE 0 0 25465 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 449 15326 SH SOLE 0 0 15326 NORDIC AMERICAN TANKERS LIMI COM G65773106 1995 141550 SH SOLE 0 0 141550 NOVARTIS A G SPONSORED ADR 66987V109 983 17637 SH SOLE 0 0 17637 NRG ENERGY INC COM NEW 629377508 583 27500 SH SOLE 0 0 27500 NUSTAR ENERGY LP UNIT COM 67058H102 252 4826 SH SOLE 0 0 4826 NUVEEN PA INVT QUALITY MUN F COM 670972108 152 10476 SH SOLE 0 0 10476 NUVEEN QUALITY PFD INCOME FD COM 67071S101 126 16850 SH SOLE 0 0 16850 NUVEEN SR INCOME FD COM 67067Y104 238 35500 SH SOLE 0 0 35500 NV ENERGY INC COM 67073Y106 977 66431 SH SOLE 0 0 66431 OLIN CORP COM PAR $1 680665205 559 31046 SH SOLE 0 0 31046 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 265 5700 SH SOLE 0 0 5700 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 16 31410 SH SOLE 0 0 31410 PARK ELECTROCHEMICAL CORP COM 700416209 227 10625 SH SOLE 0 0 10625 PENN VA RESOURCES PARTNERS L COM 707884102 1079 46148 SH SOLE 0 0 46148 PENN WEST PETE LTD NEW COM 707887105 1371 92859 SH SOLE 0 0 92859 PERCEPTRON INC COM 71361F100 186 34544 SH SOLE 0 0 34544 PERICOM SEMICONDUCTOR CORP COM 713831105 345 46689 SH SOLE 0 0 46689 PFIZER INC COM 717081103 4182 236565 SH SOLE 0 0 236565 PIONEER DRILLING CO COM 723655106 2079 289625 SH SOLE 0 0 289625 POINTS INTL LTD COM NEW 730843208 3890 396550 SH SOLE 0 0 396550 POWERSECURE INTL INC COM 73936N105 3521 744548 SH SOLE 0 0 744548 PROCTER & GAMBLE CO COM 742718109 524 8309 SH SOLE 0 0 8309 PROGRESS ENERGY INC COM 743263105 3116 60260 SH SOLE 0 0 60260 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 169 33500 SH SOLE 0 0 33500 RAYTHEON CO COM NEW 755111507 220 5400 SH SOLE 0 0 5400 RETRACTABLE TECHNOLOGIES INC COM 76129W105 348 258300 SH SOLE 0 0 258300 RIVUS BOND FUND COM 769667106 761 41665 SH SOLE 0 0 41665 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 386 6288 SH SOLE 0 0 6288 RTI INTL METALS INC COM 74973W107 247 10600 SH SOLE 0 0 10600 SCHLUMBERGER LTD COM 806857108 782 13095 SH SOLE 0 0 13095 SEANERGY MARITIME HLDGS CORP SHS Y73760129 35 10997 SH SOLE 0 0 10997 SEQUENOM INC COM NEW 817337405 61 12000 SH SOLE 0 0 12000 SONIC FDRY INC COM NEW 83545R207 2425 279440 SH SOLE 0 0 279440 SOUTHERN CO COM 842587107 258 6101 SH SOLE 0 0 6101 SPAN AMER MED SYS INC COM 846396109 138 10295 SH None 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 409 2591 SH SOLE 0 0 2591 SPECTRA ENERGY CORP COM 847560109 216 8825 SH SOLE 0 0 8825 STATOIL ASA SPONSORED ADR 85771P102 208 9681 SH SOLE 0 0 9681 STEC INC COM 784774101 2192 216035 SH SOLE 0 0 216035 STUDENT TRANSN INC COM 86388A108 4467 789273 SH SOLE 0 0 789273 SUNOPTA INC COM 8676EP108 703 142600 SH SOLE 0 0 142600 SUSQUEHANNA BANCSHARES INC P COM 869099101 104 19072 SH SOLE 0 0 19072 SYNERGETICS USA INC COM 87160G107 548 101700 SH SOLE 0 0 101700 SYNOVIS LIFE TECHNOLOGIES IN COM 87162G105 9685 579962 SH SOLE 0 0 579962 TE CONNECTIVITY LTD REG SHS H84989104 325 11567 SH SOLE 0 0 11567 TECO ENERGY INC COM 872375100 213 12475 SH SOLE 0 0 12475 TELUS CORP NON-VTG SHS 87971M202 275 5950 SH SOLE 0 0 5950 TERADYNE INC COM 880770102 234 21300 SH SOLE 0 0 21300 TESSERA TECHNOLOGIES INC COM 88164L100 414 34720 SH SOLE 0 0 34720 TETRA TECHNOLOGIES INC DEL COM 88162F105 333 43250 SH SOLE 0 0 43250 TIME WARNER INC COM NEW 887317303 1050 35043 SH SOLE 0 0 35043 TOP IMAGE SYSTEMS LTD ORD M87896102 313 160000 SH SOLE 0 0 160000 TORONTO DOMINION BK ONT COM NEW 891160509 677 9551 SH SOLE 0 0 9551 TOTAL S A SPONSORED ADR 89151E109 359 8200 SH SOLE 0 0 8200 UNILEVER N V N Y SHS NEW 904784709 211 6713 SH SOLE 0 0 6713 UNISYS CORP COM NEW 909214306 1571 100188 SH SOLE 0 0 100188 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 991 29507 SH SOLE 0 0 29507 VERIZON COMMUNICATIONS INC COM 92343V104 4661 126680 SH SOLE 0 0 126680 WELLS FARGO & CO NEW COM 949746101 530 21987 SH SOLE 0 0 21987 WESTAR ENERGY INC COM 95709T100 780 29550 SH SOLE 0 0 29550 WPCS INTL INC COM NEW 92931L203 147 72511 SH SOLE 0 0 72511 XCEL ENERGY INC COM 98389B100 1092 44269 SH SOLE 0 0 44269 XEROX CORP COM 984121103 845 121316 SH SOLE 0 0 121316 XFONE INC COM 98414Y109 8 20000 SH SOLE 0 0 20000