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RIA / WealthAdvisorCertified Financial Planner11 years in industry

James Raymond Newman

Advisor at ASCENTIS INDEPENDENT ADVISORS, LLC

DALLAS, TX | Charlotte, NC

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Search this name across graphsid dfx:ria:e2d7ac7f-97e8-c00c-8685-a266f16b2a72

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 27, 2015 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: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 26, 2015
First registration: Oct 27, 2015
Dual registered: no
Other names: JAMES RAYMOND NEWMAN|James Newman
IAPD individual key: 6515904

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\|Charlotte, NC	Current employment
ORG PARTNERS	Former SEC adviser	Feb 3, 2025	Jan 5, 2026	no	Charlotte, NC\|DALLAS, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 10, 2021	Jan 31, 2025	no	Charlotte, NC\|HICKORY, NC\|Indian Land, SC	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 27, 2015	Mar 16, 2021	no	CHARLOTTE, NC\|CHARLOTTE, NC\|WEEHAWKEN, NJ\|CHARLOTTE, NC	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
ORG PARTNERS	ASCENTIS INDEPENDENT ADVISORS, LLC	Jan 5, 2026	Jan 8, 2026	3	Firm change	RIA to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	ORG PARTNERS	Jan 31, 2025	Feb 3, 2025	3	Firm change	Ibd to RIA
UBS FINANCIAL SERVICES INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 16, 2021	Mar 10, 2021	-6	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ ASCENTIS INDEPENDENT ADVISORS, LLCRegistered adviserregistration: current employment
Jan 8, 2026 to presentfactForm ADV
→ ORG PARTNERSRegistered adviserregistration: previous registration
Feb 3, 2025 to Jan 5, 2026factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 10, 2021 to Jan 31, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 27, 2015 to Mar 16, 2021factForm ADV

Dated events

Occurred
Jan 5, 2026
Advisor changed firm
James Raymond Newman left Org Partners for Ascentis Independent Advisors, Llc (registered 2026-01-08)
Form ADVobserved 4 days ago
Occurred
Jan 31, 2025
Advisor changed firm
James Raymond Newman left Ameriprise Financial Services, Llc for Org Partners (registered 2025-02-03)
Form ADVobserved 4 days ago