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CRD 120632
NEEDHAM, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ELIZABETH ANN SADWICK | n/a | NEEDHAM, MA | 8 | 14 | 2 | yes |
| Allen John DeVincent | n/a | NEEDHAM, MA | 6 | 21 | 3 | yes |
| Shayne Layton | Certified Financial Planner | CARMICHAEL, CA | NEEDHAM, MA | 6 | 24 | 7 | yes |
| Joseph David Wilcox | n/a | NEEDHAM, MA | LEXINGTON, KY | 6 | 23 | 4 | yes |
| Kristin Anne Meader | n/a | NEEDHAM, MA | Lebanon, ME | 6 | 26 | 2 | yes |
| DEREK M VITO | n/a | NEEDHAM, MA | NEWARK, DE | 6 | 24 | 2 | yes |
| Daniel McCurran Basile | n/a | NEEDHAM, MA | DRESHER, PA | 6 | 15 | 1 | yes |
| THOMAS LOWE | n/a | NEEDHAM, MA | 5 | 30 | n/a | yes |
| Todd Andrew Brooker | n/a | Greensboro, NC | NEEDHAM, MA | 5 | 12 | 1 | no |
| CARL JEFFERSON SETTLES | n/a | Conyers, GA | NEEDHAM, MA | 5 | 22 | 2 | no |
| STEPHEN ROBERT GEGG | n/a | NEEDHAM, MA | LITITZ, PA | 5 | 14 | 2 | no |
| Jay Lawrence Hollis | n/a | NEEDHAM, MA | BRENTWOOD, TN | 5 | 15 | 2 | yes |
| Paul Gregory Souppa | Chartered Financial Consultant | NEEDHAM, MA | 4 | 12 | n/a | no |
| Trenton Schrader | n/a | Freeland, WA | NEEDHAM, MA | 4 | 23 | 5 | yes |
| Andrew Sessions | n/a | Indian Trail, NC | NEEDHAM, MA | 4 | 12 | 1 | yes |
| Zachary Philip Nowicki | Chartered Financial Consultant | Pickerington, OH | NEEDHAM, MA | 4 | 14 | 2 | yes |
| MELISSA A BAILEY | n/a | NEEDHAM, MA | North Kingstown, RI | 3 | 19 | 2 | yes |
| DAVID WALTER RYDZESKI | n/a | NEEDHAM, MA | Oakton, VA | 3 | 42 | 2 | yes |
| JEFFREY VINCENT HOCKENBROCK | n/a | Berkeley, CA | NEEDHAM, MA | 3 | 20 | 2 | no |
| BRAD RICHARD TRAYNOR | n/a | NEEDHAM, MA | Appleton, WI | 3 | 32 | 2 | no |
| NATALIE FONG | n/a | DUBLIN, CA | NEEDHAM, MA | 3 | 27 | 5 | no |
| Christopher R Walton | n/a | NEEDHAM, MA | Litchfield Park, AZ | 2 | 30 | 8 | yes |
| Gregory Kiser | n/a | SYRACUSE, NY | NEEDHAM, MA | 2 | 28 | 3 | yes |
| Thomas Zenoby | n/a | NEEDHAM, MA | PHOENIX, AZ | 2 | 19 | 4 | yes |
| David L Tippets | n/a | Heber City, UT | NEEDHAM, MA | 2 | 14 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ASCENSUS GROUP HOLDINGS, INC. | 100% OWNER OF ASCENSUS HOLDINGS, INC. | E | yes | 01/2018 | Mar 27, 2024 | Oct 9, 2024 |
| ASCENSUS GROUP LLC | 100% SHAREHOLDER | E | yes | 01/2018 | Feb 20, 2018 | Oct 9, 2024 |
| ASCENSUS HOLDINGS, INC. | 100% OWNER OF ASCENSUS GROUP, LLC | E | yes | 01/2018 | Mar 27, 2019 | Oct 9, 2024 |
| CREONTE, MARGARET, BRENNAN | President | Na | yes | 06/2020 | Jul 25, 2014 | Oct 9, 2024 |
| FOLMER, MICHAEL, ROBERT | TREASURER AND VICE PRESIDENT, TAX & FINANCE | Na | yes | 07/2015 | Jul 31, 2015 | Oct 9, 2024 |
| Hewitt, Thomas, Joseph | SENIOR VICE PRESIDENT RELATIONSHIP MANAGEMENT | Na | yes | 05/2023 | May 2, 2023 | Oct 9, 2024 |
| KAPLAN, ROBERT, BARRY | CHIEF COMPLIANCE OFFICER AND SECRETARY | Na | yes | 07/2018 | Jul 24, 2018 | Oct 9, 2024 |
| LOWE, THOMAS | VICE PRESIDENT, INVESTMENT MANAGEMENT | Na | yes | 08/2018 | Mar 27, 2019 | Oct 9, 2024 |
| MERCURY INTERMEDIATE I, INC. | 100% OWNER OF MERCURY INTERMEDIATE II, INC. | E | yes | 08/2021 | Aug 26, 2021 | Oct 9, 2024 |
| MERCURY INTERMEDIATE II, INC. | 100% OWNER OF ASCENSUS GROUP HOLDINGS, INC. | E | yes | 08/2021 | Aug 26, 2021 | Oct 9, 2024 |
| MERCURY PARENT HOLDINGS, INC. | 100% OWNER OF MERCURY INTERMEDIATE I, INC. | E | yes | 08/2021 | Aug 26, 2021 | Oct 9, 2024 |
| TRIDENT VIII, L.P | 29.4% OWNER OF MERCURY PARENT HOLDINGS, INC. | C | yes | 08/2021 | Aug 26, 2021 | Oct 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| NEWPORT GROUP CONSULTING, LLC | n/a | Institutional manager | $5.1B | N | yes | n/a |
| NYHART CONSULTING, LLC | n/a | Former SEC adviser | $11.1M | N | yes | n/a |
| ASCENSUS BROKER DEALER SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| ASCENSUS TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| KROLL SECURITIES LLC | n/a | n/a | n/a | N | yes | n/a |
| NEWPORT GROUP INC. | n/a | n/a | n/a | N | yes | n/a |
| NEWPORT TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| PROVIDENT TRUST GROUP, LLC | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Jan 29, 2026 | $13B | $0 | 48 | 2 | 0 | n/a | n/a |
| 2024 | Mar 24, 2025 | $12B | $0 | 47 | 3 | 0 | n/a | n/a |
| 2023 | Mar 4, 2024 | $9.9B | $0 | 47 | 3 | 0 | n/a | n/a |
| 2022 | Mar 13, 2023 | $8.5B | $0 | 46 | 2 | 0 | n/a | n/a |
| 2021 | Mar 14, 2022 | $9.4B | $0 | 44 | 2 | 0 | n/a | n/a |
| 2020 | Mar 30, 2021 | $77B | $0 | 24 | 2 | 0 | n/a | n/a |
| 2019 | Feb 21, 2020 | $83B | $0 | 22 | 2 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $69B | $0 | 10 | 2 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $66B | $0 | 11 | 2 | 0 | n/a | n/a |
| 2016 | Mar 28, 2017 | $56B | $0 | 11 | 3 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $46B | $0 | 8 | 1 | n/a | n/a | n/a |
| 2014 | Feb 13, 2015 | $42B | $0 | 8 | 1 | n/a | n/a | n/a |
| 2013 | Jan 29, 2014 | $19B | $0 | 8 | 2 | n/a | n/a | n/a |
| 2012 | Jan 7, 2013 | $17B | $0 | 8 | 2 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $29B | $0 | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 8 | 4 | 4 | 9.5% | 1 | 1 | 0 | 19 | 12 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $13B | $12B | 11.4% | $8.5B | 15.2% | 48 | 47 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC. | 10 | Dec 31, 2020 | Jul 21, 2021 | GREENVILLE, SC | Team lift out | Other | 37.0% |