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RIA / WealthAdvisor28 years in industry

JAMES LOUIS MATT

Advisor at ASCENTIS INDEPENDENT ADVISORS, LLC

Scottsdale, AZ | DALLAS, TX

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Search this name across graphsid dfx:ria:9b23173c-4820-8103-24e3-00a28117ba61

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Sep 16, 2002 to Sep 15, 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: ASCENTIS INDEPENDENT ADVISORS, LLC
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: Jul 15, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 4
Exams: S63|S66|S65
First exam: Jul 15, 1998
First registration: Sep 16, 2002
Dual registered: no
Other names: JAMES LOUIS MATT|JAMES MATT
IAPD individual key: 3070148

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
ASCENTIS INDEPENDENT ADVISORS, LLC	Independent wealth	Jan 8, 2026	n/a	yes	DALLAS, TX\|Scottsdale, AZ	Current employment
FREEDOM INVESTMENT MANAGEMENT, INC.	Independent wealth	Feb 7, 2024	Dec 16, 2025	no	SOUTH WINDSOR, CT\|Scottsdale, AZ	Previous registration
3D/L CAPITAL MANAGEMENT, LLC	Former SEC adviser	Apr 20, 2021	Dec 21, 2023	no	HARTFORD, CT\|SCOTTSDALE, AZ	Previous registration
3D ASSET MANAGEMENT, INC.	Former SEC adviser	Mar 26, 2020	Mar 31, 2021	no	Scottsdale, AZ	Previous registration
POGSON & MATT WEALTH MANAGEMENT GROUP	State registered	Feb 1, 2011	Mar 30, 2020	no	PHOENIX, AZ	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Sep 16, 2008	Feb 22, 2011	no	PHOENIX, AZ\|SCOTTSDALE, AZ	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 8, 2008	Sep 10, 2008	no	SCOTTSDALE, AZ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 8, 2008	Sep 10, 2008	no	Scottsdale, AZ	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 16, 2002	Jun 20, 2008	no	SCOTTSDALE, AZ	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
FREEDOM INVESTMENT MANAGEMENT, INC.	ASCENTIS INDEPENDENT ADVISORS, LLC	Dec 16, 2025	Jan 8, 2026	23	Firm change	RIA to RIA
3D/L CAPITAL MANAGEMENT, LLC	FREEDOM INVESTMENT MANAGEMENT, INC.	Dec 21, 2023	Feb 7, 2024	48	Channel change	RIA to RIA
3D ASSET MANAGEMENT, INC.	3D/L CAPITAL MANAGEMENT, LLC	Mar 31, 2021	Apr 20, 2021	20	Firm change	RIA to RIA
POGSON & MATT WEALTH MANAGEMENT GROUP	3D ASSET MANAGEMENT, INC.	Mar 30, 2020	Mar 26, 2020	-4	Firm change	Other
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	POGSON & MATT WEALTH MANAGEMENT GROUP	Feb 22, 2011	Feb 1, 2011	-21	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 10, 2008	Sep 16, 2008	6	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 10, 2008	Jul 8, 2008	-64	Channel change	Other
STRATEGIC ADVISERS LLC	TD AMERITRADE, INC.	Jun 20, 2008	Jul 8, 2008	18	Firm change	Ibd to new firm

Relationships

Registered with (9)

→ ASCENTIS INDEPENDENT ADVISORS, LLCRegistered adviserregistration: current employment
Jan 8, 2026 to presentfactForm ADV
→ FREEDOM INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 7, 2024 to Dec 16, 2025factForm ADV
→ 3D/L CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 20, 2021 to Dec 21, 2023factForm ADV
→ 3D ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 26, 2020 to Mar 31, 2021factForm ADV
→ POGSON & MATT WEALTH MANAGEMENT GROUPRegistered adviserregistration: previous registration
Feb 1, 2011 to Mar 30, 2020factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Sep 16, 2008 to Feb 22, 2011factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 8, 2008 to Sep 10, 2008factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 8, 2008 to Sep 10, 2008factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Sep 16, 2002 to Jun 20, 2008factForm ADV

Dated events

Occurred
Dec 16, 2025
Advisor changed firm
James Louis Matt left Freedom Investment Management, Inc. for Ascentis Independent Advisors, Llc (registered 2026-01-08)
Form ADVobserved 5 days ago