Michael A. Grau

AXIOM FINANCIAL STRATEGIES GROUP

NEW ALBANY, IN 47150

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CRD#: 2558374

Professional summary

Michael Anthony Grau, CFP®, who also goes by Michael Anthony Grau, is a registered financial advisor currently at AXIOM FINANCIAL STRATEGIES GROUP, LLC located in New Albany, Indiana and INTEGRITY ALLIANCE, LLC. located in New Albany, Indiana.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Anthony Grau

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. GRAU FAMILY HOLDINGS LLC POSITION: Owner NATURE: Owns Michael's share of Axiom Financial Strategies Group INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/08/2019 ADDRESS: 4000 Evergreen Rd, Crestwood KY 40014, United States DESCRIPTION: This is a holding company with no day-to-day operations. I monitor the operations of the one holding, Axiom Financial Strategies Group, LLC. 2. Spring Street Solutions, LLC: Title: Insurance Agent; Investment Related; Address: 101 W Spring Street, 5th Floor, New Albay, IN 47150; Nature of Business- Insurance; Hours Per Month: about 16 hours; Hours per month during security trading hours: about 14 hrs; Start Date 04/2020 3. Michael Grau is Dually Registered with Axiom Financial Strategies Group, LLC as an Investment Advisor Representative and Lion Street Financial, LLC as a Registered Representative. Mr. Grau has been dually registered since 10/2020. Approximately 10% of his time is spent as a Registered Representative and the balance as an Investment Advisor Representative.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony Grau's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

February 24, 2020 - Present

AXIOM FINANCIAL STRATEGIES GROUP, LLC

Office #1: 101 W. Spring Street 5th Floor, New Albany, IN 47150

RIA

CRD#: 306618

NEW ALBANY, IN

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 101 W Spring Street 5th Floor, New Albany, IN 47150

RIA

CRD#: 139627

NEW ALBANY, IN

Past

October 12, 2020 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

NEW ALBANY, IN

Past

March 27, 2009 - February 28, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW ALBANY, IN

Past

March 27, 2009 - February 28, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEW ALBANY, IN

Past

January 22, 2004 - April 15, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW ALBANY, IN

Past

January 29, 2001 - April 15, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW ALBANY, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AXIOM FINANCIAL STRATEGIES GROUP, LLC

CRD#: 306618 / SEC#: 801-117878

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(11/3/2025)

Georgia
(11/3/2025)

IAR

Indiana
(2/24/2020)

Indiana
(11/3/2025)

Kentucky
(11/3/2025)

Mississippi
(11/3/2025)

New York
(11/3/2025)

West Virginia
(11/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/2/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AXIOM FINANCIAL STRATEGIES GROUP, LLC

CRD#: 306618 / SEC#: 801-117878

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

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Contact information

Main Address

101 W. Spring Street 5th Floor, New Albany, IN 47150

Mailing Address

Phone number

(812) 913-7701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AXIOM WRAP BROCHURE 2022.06.13 (3/12/2025)

AXIOM ADV PART 2A 2022.06.13 (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,414
AUM (Assets Under Management)	$ 372,850,842

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael A. Grau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony Grau's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

LION STREET FINANCIAL, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

AXIOM FINANCIAL STRATEGIES GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2001

Series 63

Date: 2/5/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/25/2001

FINRA

Current Firm

AXIOM FINANCIAL STRATEGIES GROUP, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIOM FINANCIAL STRATEGIES GROUP, LLC

TRUST BUT VERIFY

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