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.
Former SEC-registered adviser
Ascendant Advisors, LLC
Latest filing Jun 29, 2020
First filing on the tape Jan 18, 2012 · 27 filings
RAUM
$125M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
13%
$16.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
27 filings and snapshots on the tape
RAUM$125M as of Mar 24, 2020
Jan 18, 2012$54.2M then
HNW client RAUM$6.3M as of Mar 24, 2020
Feb 2, 2018$9.6M then
State-registered IARs (5.B.3)8 as of Mar 24, 2020
Mar 19, 20139 then
Employees (5.A)10 as of Mar 24, 2020
Mar 19, 201311 then
Private funds: no history
RAUM -16% over the last fiscal year-2.9% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
- RAUM per advisor
- $15.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- $2.7MreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$97.1M78%
- Pension and profit-sharing plans$10.5M8.4%
- Individuals$9.7M7.8%
- High-net-worth individuals$6.3M5.1%
- Corporations and businesses$1.6M1.2%
- Individual clients
- 46reported
- HNW clients
- 6reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 57reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $2.7M sponsored, $19.4M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- James Michael Walker to Sunbelt SecuritiesJan 7, 2021 · Other
- William Cullen Rogers to Qapital Invest, LLCJan 7, 2021 · Other
- Mark Joseph Langerman to Alpha Cubed Investments, LLCJan 7, 2021 · Other
- Paul Joseph Seidman to Alpha Cubed Investments, LLCFeb 9, 2018 · Other
- Gregory James Avallon to MML Investors Services, LLCJul 5, 2016 · Other
- Michael Todd Smurl to Goldman Sachs Wealth Services, L.P.Mar 31, 2014 · Other
- Robert Paul Bruns to Strategic Financial Concepts, LLCMar 1, 2012 · Other
Joined, latest
- Paul Joseph Seidman from First Allied Securities, Inc.Feb 28, 2012 · Other
- Mark Joseph Langerman from Empowerment Financial GroupFeb 28, 2012 · Other
- Michael Todd Smurl from Banc Of America Investment Services, Inc.Jan 6, 2011 · Other
- Robert Paul Bruns from Invesco Advisers, Inc.Nov 30, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Harvey James Lee · Managing Member/Chief Compliance Officercontrolsince 07/2009 · owns less than 5%
- Harvey James Lee · Managing Membercontrolsince 07/2009 · owns F of Ascendant Advisors Group, LLC
Entity owners
- Ascendant Advisors Group, LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Awm Services, Inc.broker-dealern
Advisers that list Ascendant Advisors, LLC as a related person
- 152203 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 69 to 57Mar 27, 2019 to Mar 24, 2020
- Corporate clients · 4 to 2Mar 27, 2019 to Mar 24, 2020
- HNW clients · 8 to 6Mar 27, 2019 to Mar 24, 2020
- Individual clients · 50 to 46Mar 27, 2019 to Mar 24, 2020
- Discretionary RAUM · $148M to $124MMar 27, 2019 to Mar 24, 2020
- HNW RAUM · $9.0M to $6.3MMar 27, 2019 to Mar 24, 2020
- Individual RAUM · $11.0M to $9.7MMar 27, 2019 to Mar 24, 2020
- Non-discretionary RAUM · $1.2M to $1.3MMar 27, 2019 to Mar 24, 2020
- Pension RAUM · $9.8M to $10.5MMar 27, 2019 to Mar 24, 2020
- RAUM · $149M to $125MMar 27, 2019 to Mar 24, 2020
- Wrap assets (manager) · $39.9M to $19.4MMar 27, 2019 to Mar 24, 2020
- Wrap assets (sponsor) · $7.0M to $2.7MMar 27, 2019 to Mar 24, 2020
- Accounts · 84 to 69Feb 2, 2018 to Mar 27, 2019
- Individual clients · 65 to 50Feb 2, 2018 to Mar 27, 2019
- Discretionary RAUM · $154M to $148MFeb 2, 2018 to Mar 27, 2019
- HNW RAUM · $9.6M to $9.0MFeb 2, 2018 to Mar 27, 2019
- Individual RAUM · $13.4M to $11.0MFeb 2, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $1.5M to $1.2MFeb 2, 2018 to Mar 27, 2019
- Pension RAUM · $11.4M to $9.8MFeb 2, 2018 to Mar 27, 2019
- RAUM · $155M to $149MFeb 2, 2018 to Mar 27, 2019
- Wrap assets (manager) · $48.1M to $39.9MFeb 2, 2018 to Mar 27, 2019
- Wrap assets (sponsor) · $8.0M to $7.0MFeb 2, 2018 to Mar 27, 2019
- Accounts · 88 to 84Mar 23, 2017 to Feb 2, 2018
- Charity clients · unset to 0.0Mar 23, 2017 to Feb 2, 2018
- Corporate clients · unset to 4.0Mar 23, 2017 to Feb 2, 2018
- HNW clients · unset to 8.0Mar 23, 2017 to Feb 2, 2018
- Individual clients · unset to 65.0Mar 23, 2017 to Feb 2, 2018
- Pension plan clients · unset to 3.0Mar 23, 2017 to Feb 2, 2018
- Pooled vehicle clients · unset to 0.0Mar 23, 2017 to Feb 2, 2018
- Financial planning clients · unset to 0Mar 23, 2017 to Feb 2, 2018
- Other offices · unset to 0.0Mar 23, 2017 to Feb 2, 2018
- Discretionary RAUM · $135M to $154MMar 23, 2017 to Feb 2, 2018
- HNW RAUM · unset to 9600000.0Mar 23, 2017 to Feb 2, 2018
- Individual RAUM · unset to 13400000.0Mar 23, 2017 to Feb 2, 2018
- Non-discretionary RAUM · $2.0M to $1.5MMar 23, 2017 to Feb 2, 2018
- Pension RAUM · unset to 11400000.0Mar 23, 2017 to Feb 2, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 23, 2017 to Feb 2, 2018
- RAUM · $137M to $155MMar 23, 2017 to Feb 2, 2018
- Wrap assets (manager) · unset to 48100000.0Mar 23, 2017 to Feb 2, 2018
- Wrap assets (sponsor) · unset to 8000000.0Mar 23, 2017 to Feb 2, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026