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

Ascende Wealth Advisers, Inc.

Former SEC-registered adviserHouston, TexasCRD 155768SEC 801-72091IAPD
Latest filing Mar 28, 2017
First filing on the tape Nov 7, 2011 · 12 filings
RAUM
$3.6B
reported, Item 5.F
Discretionary
2.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$3.6B as of Mar 28, 2017
Mar 29, 2012$461M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 28, 2017
Mar 29, 20120 then
Employees (5.A)9 as of Mar 28, 2017
Mar 19, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+23% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
RAUM per advisor
$453MderivedRAUM 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
$55.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
2.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
65reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dan Crawford · Secretarycontrol
      since 02/2016 · owns less than 5%
    • Pete Garvey · Evpcontrol
      since 02/2016 · owns less than 5%
    • Karman Ma · Treasurercontrol
      since 02/2016 · owns less than 5%
    • Arthur Robert Massa · Chief Compliance Officer, Presidentcontrol
      since 10/2010 · owns less than 5%
    • Douglas James Watt · Evpcontrol
      since 02/2016 · owns less than 5%
    • James Burr · Directorcontrol
      since 02/2016 · owns 25% to 50% of Edgewood Holdings LLC
    • Bryan Corbett · Directorcontrol
      since 02/2016 · owns F of Edgewood Holdings LLC
    • Kshitij Dwivedi · Directorcontrol
      since 02/2016 · owns F of Edgewood Holdings LLC
    • Pete Garvey · Directorcontrol
      since 02/2016 · owns F of Edgewood Holdings LLC
    • John Hahn · Directorcontrol
      since 02/2016 · owns F of Edgewood Holdings LLC
    • Jeff Mccart · Directorcontrol
      since 02/2016 · owns F of Edgewood Holdings LLC
    • Christopher John Redett · Directorcontrol
      since 02/2016 · owns F of Edgewood Holdings LLC
    Entity owners
    • Epic Holdings, Inc. · Owner
      direct · owns 75% or more
    • Edgewood Partners Holdings, LLC · Owner
      indirect · owns 75% or more of Epic Holdings, Inc.
    • Redwood Acquisition · Owner
      indirect · owns 50% to 75% of Edgewood Holdings LLC
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 52 to 65
      Apr 4, 2016 to Mar 28, 2017
    • Advisory employees · 7 to 8
      Apr 4, 2016 to Mar 28, 2017
    • Employees · 7 to 9
      Apr 4, 2016 to Mar 28, 2017
    • State-registered IARs · 7 to 8
      Apr 4, 2016 to Mar 28, 2017
    • Discretionary RAUM · $31.7M to $74.0M
      Apr 4, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $3.1B to $3.6B
      Apr 4, 2016 to Mar 28, 2017
    • RAUM · $3.1B to $3.6B
      Apr 4, 2016 to Mar 28, 2017
    • Accounts · 36 to 52
      Mar 11, 2015 to Mar 30, 2016
    • Advisory employees · 5 to 7
      Mar 11, 2015 to Mar 30, 2016
    • Employees · 5 to 7
      Mar 11, 2015 to Mar 30, 2016
    • State-registered IARs · 5 to 7
      Mar 11, 2015 to Mar 30, 2016
    • Discretionary RAUM · $7.1M to $31.7M
      Mar 11, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $2.6B to $3.1B
      Mar 11, 2015 to Mar 30, 2016
    • RAUM · $2.6B to $3.1B
      Mar 11, 2015 to Mar 30, 2016
    • Accounts · 29 to 36
      Mar 6, 2014 to Mar 11, 2015
    • Discretionary RAUM · $6.1M to $7.1M
      Mar 6, 2014 to Mar 11, 2015
    • Non-discretionary RAUM · $1.9B to $2.6B
      Mar 6, 2014 to Mar 11, 2015
    • RAUM · $1.9B to $2.6B
      Mar 6, 2014 to Mar 11, 2015
    • Accounts · 27 to 29
      Nov 22, 2013 to Mar 6, 2014
    • Advisory employees · 4 to 5
      Nov 22, 2013 to Mar 6, 2014
    • Advisory activities · 5 to 6
      Nov 22, 2013 to Mar 6, 2014
    • Employees · 4 to 5
      Nov 22, 2013 to Mar 6, 2014
    • State-registered IARs · 4 to 5
      Nov 22, 2013 to Mar 6, 2014
    • Discretionary RAUM · $5.5M to $6.1M
      Nov 22, 2013 to Mar 6, 2014
    • Non-discretionary RAUM · $1.8B to $1.9B
      Nov 22, 2013 to Mar 6, 2014
    • RAUM · $1.8B to $1.9B
      Nov 22, 2013 to Mar 6, 2014
    • Accounts · 19 to 27
      Jul 2, 2013 to Nov 22, 2013
    • Advisory activities · 4 to 5
      Jul 2, 2013 to Nov 22, 2013
    • Discretionary RAUM · $0 to $5.5M
      Jul 2, 2013 to Nov 22, 2013
    • Non-discretionary RAUM · $1.4B to $1.8B
      Jul 2, 2013 to Nov 22, 2013
    • RAUM · $1.4B to $1.8B
      Jul 2, 2013 to Nov 22, 2013
    • Accounts · 10 to 19
      Dec 18, 2012 to Mar 19, 2013
    • Advisory activities · 2 to 4
      Dec 18, 2012 to Mar 19, 2013
    • Insurance-licensed employees · 1 to 0
      Dec 18, 2012 to Mar 19, 2013
    • State-registered IARs · 3 to 4
      Dec 18, 2012 to Mar 19, 2013
    • Non-discretionary RAUM · $461M to $1.4B
      Dec 18, 2012 to Mar 19, 2013
    • RAUM · $461M to $1.4B
      Dec 18, 2012 to Mar 19, 2013
    • Advisory employees · unset to 4.0
      Mar 29, 2012 to Nov 8, 2012
    • Employees · unset to 4.0
      Mar 29, 2012 to Nov 8, 2012
    • State-registered IARs · 0 to 3
      Mar 29, 2012 to Nov 8, 2012
    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