DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••••• C•••••• A•••••••• I•••
Latest filing Jun 30, 2026
First filing on the tape Apr 2, 2012 · 28 filings
SEC status approved since Sep 15, 2000
RAUM
$939M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
71%
$664M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$939M as of Jun 30, 2026
Apr 2, 2012$108M then
HNW client RAUM$622M as of Jun 30, 2026
Mar 30, 2018$243M then
State-registered IARs (5.B.3)7 as of Jun 30, 2026
Mar 26, 20130 then
Employees (5.A)10 as of Jun 30, 2026
Mar 26, 20135 then
Private funds: no history
RAUM +48% over the last fiscal year+22% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +48%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $56.2M, 33 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$622M66%
- Pension and profit-sharing plans$248M26%
- Individuals$42.1M4.5%
- Charitable organizations$20.2M2.2%
- Corporations and businesses$6.3M0.7%
- Individual clients
- 92reported
- HNW clients
- 115reported
- Pension plan clients
- 27reported
- Charitable clients
- 3reported
- Accounts
- 670reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.2M for 33 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• B•••• T••••••• | Houston, Tx | Oct 17, 1997 | 41 y | 0 |
| P••• B•••• T•••••••Certified Financial Planner | Houston, Tx | Oct 15, 2015 | 15 y | 1 |
| J••••• D•••• M•••••• | Houston, Tx | Jul 29, 2016 | 18 y | 2 |
| D•••• H••••••• B•••••• | Houston, Tx | Mar 22, 2018 | 32 y | 1 |
| E•••• R•••• W••••Certified Financial Planner | Houston, Tx | Apr 16, 2021 | 11 y | 1 |
| J•• H••••• M•••••Certified Financial Planner | Houston, Tx | Jan 24, 2024 | 11 y | 1 |
| J•••••• W••••• F•••••Certified Financial Planner | Houston, Tx | May 17, 2025 | 41 y | 3 |
| J•••• H••• H••••• | Liberty, Tx | Jul 23, 2025 | 12 y | 0 |
| S•••• E• S•••••••• | Houston, Tx | Jun 2, 2026 | 32 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• R••••• L••••• to T•••••• N•••••Jul 1, 2016 · Other
- M••••• D••• T•••• to T•••••• N•••••Jan 22, 2016 · Other
Joined, latest
- J•••••• W••••• F••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•• H••••• M••••• from W••••••• F•••••••• S•••••••• I•••Jan 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- E•••• R•••• W•••• from U•• F•••••••• S••••••• I•••Apr 16, 2021 · Wirehouse to independent RIA
- D•••• H••••••• B•••••• from S••• H••••• A•••••••• I•••Mar 22, 2018 · Other
- J••••• D•••• M•••••• from S••• H••••• A•••••••• I•••Jul 29, 2016 · Other
- P••• B•••• T••••••• from S•••••••• A••••••• L••Oct 15, 2015 · Other
- J••• R••••• L••••• from S•• J•••••• I••••••••• M••••••••• • C••••••••• L••Sep 25, 2013 · Other
- M••••• D••• T•••• from A••••••• G•••••• S••••••••• I•••••••••Jan 5, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• P•••• B•••• · President & Ceocontrolsince 04/1998 · owns 75% or more
- T•••••••• P•••• B•••• · Chief Compliance Officercontrolsince 01/2016 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 30, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $634,287,172 to $938,510,312, advisors 5 to 7, private clients 166 to 207, offices 0 to 0 (2025-03-21 to 2026-03-30)peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Mar 30, 2026private-client share of RAUM moved from 91.0% to 71.0% between the annual amendments of 2025-03-21 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $634,287,172 to $938,510,312 (+48.0%) between the annual amendments of 2025-03-21 and 2026-03-30; the peer median change was +16.0% (1385 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 93% percentile
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 9.0% to 29.0% between the annual amendments of 2025-03-21 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 85.0% to 66.0% between the annual amendments of 2025-03-21 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 519 to 670Jul 7, 2025 to Mar 30, 2026
- HNW clients · 87 to 115Jul 7, 2025 to Mar 30, 2026
- Individual clients · 79 to 92Jul 7, 2025 to Mar 30, 2026
- Pension plan clients · 11 to 27Jul 7, 2025 to Mar 30, 2026
- Assets in custody · $17.4M to $56.2MJul 7, 2025 to Mar 30, 2026
- Employees · 7 to 10Jul 7, 2025 to Mar 30, 2026
- Discretionary RAUM · $616M to $832MJul 7, 2025 to Mar 30, 2026
- HNW RAUM · $541M to $622MJul 7, 2025 to Mar 30, 2026
- Individual RAUM · $35.2M to $42.1MJul 7, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $17.8M to $106MJul 7, 2025 to Mar 30, 2026
- Pension RAUM · $31.2M to $248MJul 7, 2025 to Mar 30, 2026
- RAUM · $634M to $939MJul 7, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 51-100Jun 9, 2025 to Jul 7, 2025
- Advisory employees · 5 to 7Mar 21, 2025 to Jun 9, 2025
- Advisory activities · 5 to 6Mar 21, 2025 to Jun 9, 2025
- Employees · 8 to 7Mar 21, 2025 to Jun 9, 2025
- State-registered IARs · 5 to 7Mar 21, 2025 to Jun 9, 2025
- Accounts · 493 to 519Mar 27, 2024 to Mar 21, 2025
- HNW clients · 84 to 87Mar 27, 2024 to Mar 21, 2025
- Pension plan clients · 10 to 11Mar 27, 2024 to Mar 21, 2025
- Pooled vehicle clients · 0.0 to unsetMar 27, 2024 to Mar 21, 2025
- Assets in custody · $16.2M to $17.4MMar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $544M to $616MMar 27, 2024 to Mar 21, 2025
- HNW RAUM · $491M to $541MMar 27, 2024 to Mar 21, 2025
- Individual RAUM · $25.5M to $35.2MMar 27, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $16.6M to $17.8MMar 27, 2024 to Mar 21, 2025
- Pension RAUM · $20.3M to $31.2MMar 27, 2024 to Mar 21, 2025
- RAUM · $561M to $634MMar 27, 2024 to Mar 21, 2025
- Accounts · 498 to 493Jun 14, 2023 to Mar 27, 2024
- Charity clients · 4 to 3Jun 14, 2023 to Mar 27, 2024
- Corporate clients · 2 to 3Jun 14, 2023 to Mar 27, 2024
- HNW clients · 82 to 84Jun 14, 2023 to Mar 27, 2024
- Pension plan clients · 9 to 10Jun 14, 2023 to Mar 27, 2024
- Assets in custody · $14.6M to $16.2MJun 14, 2023 to Mar 27, 2024
- Discretionary RAUM · $497M to $544MJun 14, 2023 to Mar 27, 2024
- HNW RAUM · $450M to $491MJun 14, 2023 to Mar 27, 2024
- Individual RAUM · $23.1M to $25.5MJun 14, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $14.5M to $16.6MJun 14, 2023 to Mar 27, 2024
- Pension RAUM · $15.7M to $20.3MJun 14, 2023 to Mar 27, 2024
- RAUM · $511M to $561MJun 14, 2023 to Mar 27, 2024
Signals
3 dated events
- A•••••••• C•••••• A•••••••• I••• reported RAUM $938.5M, up 48% from $634.3M (2025-07-07 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- A•••••••• C•••••• A•••••••• I••• reported RAUM $511.1M, down 29% from $715.6M (2022-11-22 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- A•••••••• C•••••• A•••••••• I••• reported RAUM $715.6M, up 74% from $410.2M (2021-08-10 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 713-622-7894reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 713-952-6900reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-761-9815reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/ascension-capital-advisors/?viewAsMembereportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-952-6900reportedpublic record, Form ADV, Jun 30, 2026
- Team page
- ascensioncapital.com/teamreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026