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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)41 years in industry

JEFFREY WARREN FARLEY

Advisor at ASCENSION CAPITAL ADVISORS, INC.

HOUSTON, TX

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Search this name across graphsid dfx:ria:60c5b907-0a07-10d5-b552-ed4bcdfd26a0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 5, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ASCENSION CAPITAL ADVISORS, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 10, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Jan 10, 1985
First registration: Nov 5, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1326180

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ASCENSION CAPITAL ADVISORS, INC.	Independent wealth	May 17, 2025	n/a	yes	HOUSTON, TX	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Apr 2, 2012	May 19, 2025	no	KATY, TX	Previous registration
SANDERS MORRIS LLC	Independent wealth	Jun 27, 2006	Apr 2, 2012	no	KATY, TX	Previous registration
SMH CAPITAL ADVISORS LLC	Institutional manager	Nov 5, 2002	Dec 31, 2006	no	BERNARD, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	ASCENSION CAPITAL ADVISORS, INC.	May 19, 2025	May 17, 2025	-2	Firm change	Ibd to RIA
SANDERS MORRIS LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Apr 2, 2012	Apr 2, 2012	0	Firm change	Other
SMH CAPITAL ADVISORS LLC	SANDERS MORRIS LLC	Dec 31, 2006	Jun 27, 2006	-187	Bulk transfer	Other

Relationships

Registered with (4)

→ ASCENSION CAPITAL ADVISORS, INC.Registered adviserregistration: current employment
May 17, 2025 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Apr 2, 2012 to May 19, 2025factForm ADV
→ SANDERS MORRIS LLCRegistered adviserregistration: previous registration
Jun 27, 2006 to Apr 2, 2012factForm ADV
→ SMH CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Nov 5, 2002 to Dec 31, 2006factForm ADV

Dated events

Occurred
May 19, 2025
Advisor changed firm
Jeffrey Warren Farley left Cambridge Investment Research Advisors, Inc. for Ascension Capital Advisors, Inc. (registered 2025-05-17)
Form ADVobserved 4 days ago