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.
SEC-registered adviser
Ascensus Investment Advisors, LLC
Latest filing Aug 17, 2026
First filing on the tape Dec 2, 2011 · 71 filings
SEC status approved since Sep 27, 2002
RAUM
$13B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
42
registered through the firm on IAPD
RAUM per advisor
$309M
derived; firm RAUM over IAPD count
Employees
48
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$13B as of Aug 17, 2026
Mar 30, 2012$29B then
HNW client RAUM: no history
State-registered IARs (5.B.3)41 as of Aug 17, 2026
Mar 30, 20120 then
Employees (5.A)48 as of Aug 17, 2026
Jan 7, 20138 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 39 to 41
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $309MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 42.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $13B, 27 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$13B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13B for 27 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=32.0derived
Advisors registered through the firm
42 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Elizabeth Ann Sadwick | Needham, Ma | Mar 7, 2018 | 14 y | 2 |
| Allen John Devincent | Needham, Ma | Oct 2, 2019 | 21 y | 3 |
| Shayne LaytonCertified Financial Planner | Carmichael, Ca | Oct 8, 2019 | 24 y | 7 |
| Joseph David Wilcox | Needham, Ma | Oct 30, 2019 | 23 y | 4 |
| Daniel Mccurran Basile | Needham, Ma | Nov 21, 2019 | 15 y | 1 |
| Derek M Vito | Needham, Ma | Nov 21, 2019 | 24 y | 2 |
| Kristin Anne Meader | Needham, Ma | Nov 21, 2019 | 26 y | 2 |
| Thomas Lowe | Needham, Ma | Nov 17, 2020 | 30 y | 0 |
| Todd Andrew Brooker | Greensboro, Nc | May 18, 2021 | 12 y | 1 |
| Carl Jefferson Settles | Conyers, Ga | May 25, 2021 | 22 y | 2 |
| Stephen Robert Gegg | Needham, Ma | Jun 8, 2021 | 14 y | 2 |
| Jay Lawrence Hollis | Needham, Ma | Jun 29, 2021 | 15 y | 2 |
| Paul Gregory SouppaChartered Financial Consultant | Needham, Ma | Jan 4, 2022 | 12 y | 0 |
| Trenton Schrader | Freeland, Wa | Mar 1, 2022 | 23 y | 5 |
| Andrew Sessions | Indian Trail, Nc | Jul 26, 2022 | 12 y | 1 |
| Zachary Philip NowickiChartered Financial Consultant | Pickerington, Oh | Aug 2, 2022 | 14 y | 2 |
| Melissa A Bailey | Needham, Ma | Oct 25, 2022 | 19 y | 2 |
| David Walter Rydzeski | Needham, Ma | Jan 30, 2023 | 42 y | 2 |
| Jeffrey Vincent Hockenbrock | Berkeley, Ca | May 31, 2023 | 20 y | 2 |
| Brad Richard Traynor | Needham, Ma | Jun 7, 2023 | 32 y | 2 |
| Natalie Fong | Dublin, Ca | Jul 18, 2023 | 27 y | 5 |
| Christopher R Walton | Needham, Ma | Oct 6, 2023 | 30 y | 8 |
| Gregory Kiser | Syracuse, Ny | Nov 7, 2023 | 28 y | 3 |
| Thomas Zenoby | Needham, Ma | Nov 15, 2023 | 19 y | 4 |
| David L Tippets | Heber City, Ut | Dec 19, 2023 | 14 y | 2 |
| Daniel Jeffrey Irizarry | Fresno, Ca | Mar 13, 2024 | 16 y | 4 |
| James Ryan Moore | Denver, Co | Mar 21, 2024 | 21 y | 1 |
| Stephen Carrera | Broomfield, Co | Jun 10, 2024 | 26 y | 1 |
| Erin Walters Nelson | Leesburg, Va | Jul 17, 2024 | 27 y | 3 |
| Gregory Andrew Ledesma | Grand Junction, Co | Apr 10, 2025 | 19 y | 1 |
| Nathalie Johanna Duarte | Brownsburg, In | May 22, 2025 | 11 y | 3 |
| Kimberly Ann Shockley | Coventry, Ri | Jun 5, 2025 | 12 y | 0 |
| Khashayar Ahouraei | Litchfield Park, Az | Jul 28, 2025 | 29 y | 4 |
| Benjamin Fisher | Thornton, Pa | Sep 17, 2025 | 19 y | 3 |
| Robert Percival | Needham, Ma | Feb 11, 2026 | 31 y | 2 |
| Desiree Monique Lemelle | Needham, Ma | Feb 11, 2026 | 17 y | 1 |
| Christopher A Tingley | Needham, Ma | Feb 12, 2026 | 28 y | 2 |
| Glenn Edward Zuck | Charleston, Sc | Mar 4, 2026 | 20 y | 2 |
| Kristin Ertel | Needham, Ma | Mar 4, 2026 | 22 y | 1 |
| Patty Ann MillerCertified Financial Planner | Ferndale, Wa | Apr 22, 2026 | 36 y | 3 |
Advisor movement
4 left, 9 joined in 12 months
net +5 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 9.5% of current headcount13 left over 36 months
Left, latest
- Lori Reed Williams to OnedigitalSep 8, 2026 · Other
- Brian Weber to Empower Advisory Group, LLCJun 2, 2026 · Other
- Elice Jihyeon Lee to Stancorp Investment Advisers, Inc.Nov 12, 2025 · Other
- Adriana Olivare Beltran Romeo to Tlg Advisors, Inc.Oct 29, 2025 · Other
- Matthew Golizio to Valic Financial Advisors, Inc.Aug 28, 2025 · Other
- Michael David Moschetta to T. Rowe Price Advisory Services, Inc.Aug 12, 2025 · Other
- Benjamin J Buehler to UBS Financial Services Inc.Nov 29, 2024 · Other
- Michael Joseph Kiley to Nbt Capital Management, Inc.Sep 9, 2024 · Other
- Rachel Roher to Nationwide Investment Advisors, LLCSep 4, 2024 · Other
- Thomas James Green to Truist Advisory Services, Inc.May 13, 2024 · Other
- Jonas Alan Merk to T. Rowe Price Advisory Services, Inc.Feb 1, 2024 · Other
- Austin Edward Pruitt to First Citizens Investor Services, Inc.Feb 1, 2024 · Other
- Steven Allen Cartwright to Per Stirling Capital Management, LLCSep 18, 2023 · Other
- Frank Eugenio Castellvi to Transamerica Retirement Advisors, LLCJul 31, 2023 · Other
- Elizabeth Mcquade to Hcr Wealth AdvisorsMay 19, 2023 · Other
Joined, latest
- Donovan Dsean Love from Principal Securities, Inc.Sep 2, 2026 · Other
- Leigh Winchester Fleming from Fragasso Financial AdvisorsMay 19, 2026 · Other
- Patty Ann Miller from Assetmark, Inc.Apr 22, 2026 · Other
- Brian Weber from LPL Financial LLCMar 4, 2026 · Other
- Kristin Ertel from Nyhart Consulting, LLCMar 4, 2026 · Other
- Christopher A Tingley from Nationwide Investment Advisors, LLCFeb 12, 2026 · Other
- Desiree Monique Lemelle from Edward JonesFeb 11, 2026 · Other
- Robert Percival from Orion Portfolio Solutions, LLCFeb 11, 2026 · Other
- Benjamin Fisher from Ameritas Advisory Services, LLCSep 17, 2025 · Other
- Khashayar Ahouraei from Osaic Wealth, Inc.Jul 28, 2025 · Other
- Nathalie Johanna Duarte from J.P. Morgan Securities LLCMay 22, 2025 · Other
- Gregory Andrew Ledesma from Fidelity Personal And Workplace AdvisorsApr 10, 2025 · Other
- Stephen Carrera from Nationwide Investment Advisors, LLCJun 10, 2024 · Other
- Matthew Golizio from Valic Financial Advisors, Inc.Apr 16, 2024 · Other
- James Ryan Moore from Tandem Wealth AdvisorsMar 21, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 joined from Bb&T Institutional Investment Advisers, Inc.Dec 31, 2020 · Greenville, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Brennan Margaret Creonte · Presidentcontrolsince 06/2020 · owns less than 5%
- Robert Michael Folmer · Treasurer And Vice President, Tax & Financecontrolsince 07/2015 · owns less than 5%
- Joseph Thomas Hewitt · Senior Vice President Relationship Managementcontrolsince 05/2023 · owns less than 5%
- Barry Robert Kaplan · Chief Compliance Officer And Secretarycontrolsince 07/2018 · owns less than 5%
- Thomas Lowe · Vice President, Investment Managementcontrolsince 08/2018 · owns less than 5%
Entity owners
- Ascensus Group LLC · 100% Shareholderdirect · owns 75% or more
- Ascensus Group Holdings, Inc. · 100% Owner Of Ascensus Holdings, Inc.indirect · owns 75% or more of Ascensus Holdings, Inc.
- Ascensus Holdings, Inc. · 100% Owner Of Ascensus Group, LLCindirect · owns 75% or more of Ascensus Group LLC
- Mercury Intermediate I, Inc. · 100% Owner Of Mercury Intermediate II, Inc.indirect · owns 75% or more of Mercury Intermediate II, Inc.
- Mercury Intermediate II, Inc. · 100% Owner Of Ascensus Group Holdings, Inc.indirect · owns 75% or more of Ascensus Group Holdings, Inc.
- Mercury Parent Holdings, Inc. · 100% Owner Of Mercury Intermediate I, Inc.indirect · owns 75% or more of Mercury Intermediate I, Inc.
- Trident Viii, L.P · 29.4% Owner Of Mercury Parent Holdings, Inc.indirect · owns 25% to 50% of Mercury Parent Holdings, Inc.
Related persons
Schedule D 7.A
- Ascensus Broker Dealer Services, LLCbroker-dealern
- Ascensus Trust Companyn
- Kroll Securities LLCbroker-dealern
- Newport Group Consulting, LLCinvestment adviserLP sponsornRAUM $5.1B
- Newport Group Inc.real estaten
- Newport Trust Companyn
- Nyhart Consulting, LLCinvestment adviserLP sponsornRAUM $11.1M
- Provident Trust Group, LLCn
Advisers that list Ascensus Investment Advisors, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Needham, Ma · principal | 42 | 9 | 2 | ||
| Litchfield Park, Az | 2 | 0 | 0 | ||
| Fishers, In | 1 | 1 | 0 | ||
| Cranford, Nj | 0 | 0 | 0 | ||
| Long Lake, Mn | 0 | 0 | 1 | ||
| Wilmington, Nc | 0 | 0 | 0 | ||
| Franklin, Tn | 0 | 0 | 1 | ||
| Austin, Tx | 0 | 0 | 0 | ||
| Aubrey, Tx | 0 | 0 | 0 | ||
| Powell, Oh | 0 | 0 | 0 | ||
| Beachwood, Nj | 0 | 0 | 0 | ||
| Columbus, Oh | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Aug 17, 2026discretionary share of RAUM of 0% against a peer median of 99% (71 comparable advisers, 0.0th percentile, 33.4 robust deviations)peers: institutional managers, $5B to $20B (71) · 0.0% percentile
What changed
consecutive filings, newest first
- HQ city · NEWTON to NEEDHAMJul 30, 2026 to Aug 17, 2026
- Accounts · 43 to 10Oct 20, 2025 to Jan 29, 2026
- Advisory employees · 3 to 2Oct 20, 2025 to Jan 29, 2026
- BD registered reps · 29 to 32Oct 20, 2025 to Jan 29, 2026
- Assets in custody · $12B to $13BOct 20, 2025 to Jan 29, 2026
- Employees · 47 to 48Oct 20, 2025 to Jan 29, 2026
- State-registered IARs · 39 to 41Oct 20, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $12B to $13BOct 20, 2025 to Jan 29, 2026
- RAUM · $12B to $13BOct 20, 2025 to Jan 29, 2026
- Accounts · 10 to 43Jan 22, 2025 to Mar 24, 2025
- Advisory activities · 3 to 2Jan 22, 2025 to Mar 24, 2025
- BD registered reps · 26 to 29Jan 22, 2025 to Mar 24, 2025
- Assets in custody · $102B to $12BJan 22, 2025 to Mar 24, 2025
- Financial planning clients · unset to Jan 22, 2025 to Mar 24, 2025
- State-registered IARs · 37 to 39Jan 22, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $9.9B to $12BJan 22, 2025 to Mar 24, 2025
- RAUM · $9.9B to $12BJan 22, 2025 to Mar 24, 2025
- Assets in custody · $9.9B to $102BMar 27, 2024 to Apr 19, 2024
- Accounts · 27 to 10Dec 20, 2023 to Mar 4, 2024
- Advisory employees · 2 to 3Dec 20, 2023 to Mar 4, 2024
- BD registered reps · 22 to 26Dec 20, 2023 to Mar 4, 2024
- Assets in custody · $94B to $9.9BDec 20, 2023 to Mar 4, 2024
- Employees · 46 to 47Dec 20, 2023 to Mar 4, 2024
- State-registered IARs · 35 to 37Dec 20, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $8.5B to $9.9BDec 20, 2023 to Mar 4, 2024
- RAUM · $8.5B to $9.9BDec 20, 2023 to Mar 4, 2024
- BD registered reps · 26 to 22Aug 7, 2023 to Sep 19, 2023
- State-registered IARs · 37 to 35Aug 7, 2023 to Sep 19, 2023
- Advisory activities · 2 to 3May 2, 2023 to Aug 7, 2023
- BD registered reps · 19 to 26May 5, 2022 to Mar 13, 2023
- Assets in custody · $108B to $94BMay 5, 2022 to Mar 13, 2023
- Employees · 44 to 46May 5, 2022 to Mar 13, 2023
- State-registered IARs · 33 to 37May 5, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $9.4B to $8.5BMay 5, 2022 to Mar 13, 2023
- RAUM · $9.4B to $8.5BMay 5, 2022 to Mar 13, 2023
- Accounts · 36 to 27Aug 26, 2021 to Mar 14, 2022
- Assets in custody · $98B to $108BAug 26, 2021 to Mar 14, 2022
- Employees · 42 to 44Aug 26, 2021 to Mar 14, 2022
- State-registered IARs · 34 to 33Aug 26, 2021 to Mar 14, 2022
- Non-discretionary RAUM · $98B to $9.4BAug 26, 2021 to Mar 14, 2022
Signals
31 dated events
- Lori Reed Williams left Ascensus Investment Advisors, LLC for Onedigital (registered 2026-09-15)Sep 8, 2026 · Advisor changed firm · fact
- Brian Weber left Ascensus Investment Advisors, Llc for Empower Advisory Group, Llc (registered 2026-06-26)Jun 2, 2026 · Advisor changed firm · fact
- Elice Jihyeon Lee left Ascensus Investment Advisors, Llc for Stancorp Investment Advisers, Inc. (registered 2026-01-06)Nov 12, 2025 · Advisor changed firm · fact
- Adriana Olivare Beltran Romeo left Ascensus Investment Advisors, Llc for Tlg Advisors, Inc. (registered 2026-03-12)Oct 29, 2025 · Advisor changed firm · fact
- Matthew Golizio left Ascensus Investment Advisors, Llc for Valic Financial Advisors, Inc. (registered 2025-10-06)Aug 28, 2025 · Advisor changed firm · fact
- Michael David Moschetta left Ascensus Investment Advisors, Llc for T. Rowe Price Advisory Services, Inc. (registered 2025-09-30)Aug 12, 2025 · Advisor changed firm · fact
- Benjamin J Buehler left Ascensus Investment Advisors, Llc for Ubs Financial Services Inc. (registered 2025-06-14)Nov 29, 2024 · Advisor changed firm · fact
- Michael Joseph Kiley left Ascensus Investment Advisors, Llc for Nbt Capital Management, Inc. (registered 2024-09-17)Sep 9, 2024 · Advisor changed firm · fact
- Rachel Roher left Ascensus Investment Advisors, Llc for Nationwide Investment Advisors, Llc (registered 2025-02-11)Sep 4, 2024 · Advisor changed firm · fact
- Thomas James Green left Ascensus Investment Advisors, Llc for Truist Advisory Services, Inc. (registered 2025-02-07)May 13, 2024 · Advisor changed firm · fact
- Jonas Alan Merk left Ascensus Investment Advisors, Llc for T. Rowe Price Advisory Services, Inc. (registered 2024-07-08)Feb 1, 2024 · Advisor changed firm · fact
- Austin Edward Pruitt left Ascensus Investment Advisors, Llc for First Citizens Investor Services, Inc. (registered 2024-03-19)Feb 1, 2024 · Advisor changed firm · fact
- Steven Allen Cartwright left Ascensus Investment Advisors, Llc for Per Stirling Capital Management, Llc (registered 2023-09-29)Sep 18, 2023 · Advisor changed firm · fact
- Frank Eugenio Castellvi left Ascensus Investment Advisors, Llc for Transamerica Retirement Advisors, Llc (registered 2023-08-03)Jul 31, 2023 · Advisor changed firm · fact
- Elizabeth Mcquade left Ascensus Investment Advisors, Llc for Hcr Wealth Advisors (registered 2023-12-05)May 19, 2023 · Advisor changed firm · fact
- Jay Candelmo (Senior Vice President, Relationship Management) no longer on Schedule A of Ascensus Investment Advisors, Llc (listed 2023-03-13, absent 2023-05-02)May 2, 2023 · Control person left · inference
- Joseph Thomas Hewitt (Senior Vice President Relationship Management) appeared on Schedule A of Ascensus Investment Advisors, LlcMay 2, 2023 · Control person joined · fact
- James George Walls left Ascensus Investment Advisors, Llc for Rbc Securities, Inc. (registered 2025-03-28)Apr 6, 2023 · Advisor changed firm · fact
- William Benjamin Love left Ascensus Investment Advisors, Llc for Voya Retirement Advisors, Llc (registered 2023-07-11)Dec 20, 2022 · Advisor changed firm · fact
- Traci Brockman Pennell left Ascensus Investment Advisors, Llc for First Citizens Investor Services, Inc. (registered 2023-02-07)Dec 20, 2022 · Advisor changed firm · fact
- James Wesley Page left Ascensus Investment Advisors, Llc for First Citizens Investor Services, Inc. (registered 2026-07-15)Sep 12, 2022 · Advisor changed firm · fact
- Linda Michelle Bumgarner left Ascensus Investment Advisors, Llc for Sterling Capital Management Llc (registered 2022-07-22)Jun 29, 2022 · Advisor changed firm · fact
- Ascensus Investment Advisors, Llc reported RAUM $9.4B, down 90% from $98.2B (2021-08-26 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- Nina Marie Dipalma left Ascensus Investment Advisors, Llc for Marcum Wealth, Llc (registered 2023-10-10)Jan 18, 2022 · Advisor changed firm · fact
- Ascensus Investment Advisors, Llc reported 34 state-registered advisory representatives, up from 16 (2021-03-30 to 2021-08-26)Aug 26, 2021 · Advisor headcount change · derived
- Ascensus Investment Advisors, Llc reported RAUM $98.2B, up 28% from $76.8B (2021-03-30 to 2021-08-26)Aug 26, 2021 · RAUM change · derived
- Douglas Kevin Cox (President/Chief Executive Officer) no longer on Schedule A of Ascensus Investment Advisors, Llc (listed 2020-04-13, absent 2020-06-16)Jun 16, 2020 · Control person left · inference
- Anthony George Ducasse (Senior Vice President, Relationship Management) no longer on Schedule A of Ascensus Investment Advisors, Llc (listed 2020-02-21, absent 2020-04-13)Apr 13, 2020 · Control person left · inference
- Irene Sandra Madden (General Counsel/Senior Vice-President/Secretary) no longer on Schedule A of Ascensus Investment Advisors, Llc (listed 2019-06-13, absent 2019-07-01)Jul 1, 2019 · Control person left · inference
- Jay Candelmo (Senior Vice President, Relationship Management) appeared on Schedule A of Ascensus Investment Advisors, LlcJul 1, 2019 · Control person joined · fact
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
- Principal office phone
- 617-454-6400reportedpublic record, Form ADV, Aug 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026