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.
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SEC-registered adviser
A••••• W••••• P•••••••• L••
Latest filing Jul 17, 2026
First filing on the tape Dec 21, 2011 · 28 filings
SEC status approved since Aug 24, 2011
RAUM
$1.5B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
87%
$1.3B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
17
15 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.5B as of Jul 17, 2026
Apr 2, 2012$209M then
HNW client RAUM$981M as of Jul 17, 2026
Mar 29, 2018$312M then
State-registered IARs (5.B.3)14 as of Jul 17, 2026
Apr 2, 20120 then
Employees (5.A)17 as of Jul 17, 2026
Mar 28, 20138 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 10 to 14offices 2 to 3
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $643,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $298M, 294 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$981M65%
- Individuals$337M22%
- Pension and profit-sharing plans$131M8.6%
- Corporations and businesses$47.4M3.1%
- Charitable organizations$21.8M1.4%
- Individual clients
- 778reported
- HNW clients
- 258reported
- Pension plan clients
- 38reported
- Charitable clients
- 6reported
- Accounts
- 2,359reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $298M for 294 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• M•••••• K•••••••• | New Hartford, Ny | Oct 17, 2018 | 27 y | 0 |
| S•••• C•••• M••••••••Chartered Financial Analyst | New Hartford, Ny | Jun 14, 2021 | 15 y | 0 |
| C••••••••• B•••• L••Chartered Financial Analyst | New Hartford, Ny | Jun 14, 2021 | 15 y | 0 |
| J••••• D••••••• S••••Chartered Financial Analyst | New Hartford, Ny | Jun 14, 2021 | 15 y | 1 |
| M••••• E••••• M•••••• | Saratoga Springs, Ny | Jun 17, 2021 | 24 y | 0 |
| S•••••• S••• B••••• | Saratoga Springs, Ny | Jun 17, 2021 | 10 y | 0 |
| T•••••• M••••••• W••••••• | New Hartford, Ny | Jul 1, 2021 | 17 y | 0 |
| N••• A•••••• E•••••• | New Hartford, Ny | Jul 1, 2021 | 12 y | 0 |
| D•••••• F•••••• B••••••••• | New Hartford, Ny | Jul 1, 2021 | 12 y | 0 |
| N•••• L••• K•••••••• | New Hartford, Ny | Jul 1, 2021 | 15 y | 0 |
| S••••• G• T•••••••• | New Hartford, Ny | Nov 24, 2025 | 21 y | 1 |
| G••••• C•••••• M••••• | New Hartford, Ny | Dec 10, 2025 | 20 y | 1 |
| S•••• R••• N•••Chartered Financial Analyst | Saratoga Springs, Ny | Jan 29, 2026 | 14 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T•••••• P•••• F••••••• to K•••••••• G••••• • C••Aug 2, 2018 · RIA to RIA
Joined, latest
- S•••• R••• N••• from M••••• S••••••Jan 29, 2026 · Wirehouse to independent RIA
- G••••• C•••••• M••••• from P•••••• A•••• M••••••••• I•••Dec 10, 2025 · RIA to RIA
- S••••• G• T•••••••• from S•••••••• F•••••••• S•••••••Nov 24, 2025 · RIA to RIA
- J••••• D••••••• S•••• from S•••••••• F•••••••• S•••••••Jun 14, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• B••••••• M•••••• · Partnercontrolsince 09/2011 · owns less than 5%
- K••••••••• N••••• L••• · Chief Compliance Officercontrolsince 09/2011 · owns less than 5%
- M••••••••• S••••• C•••• · Partnercontrolsince 08/2011 · owns less than 5%
- M••••••• M•••••• E••••• · Partnercontrolsince 09/2011 · owns less than 5%
- K••••••••• B••••••• M•••••• · Managing Membercontrolsince 09/2019 · owns 25% to 50% of A•• H•••••••• L••
- M••••••• M•••••• E• · Managing Membercontrolsince 09/2019 · owns 25% to 50% of A•• H•••••••• L••
- E••••••• N•••• A•••••• · Partnersince 06/2024 · owns less than 5%
- L••• C••••••••• B•••• · Chief Investment Officersince 06/2024 · owns less than 5%
- S••••• J•••••• D••••••• · Partnersince 06/2024 · owns less than 5%
Entity owners
- A•• H•••••••• L•• · Memberdirect · owns 75% or more
- D•••••• F•••••••• P•••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- B•••••• K••••••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New Hartford, Ny · principal | 13 | 3 | 0 | ||
| Saratoga Springs, Ny | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Saratoga Springs, NY3 employees
- Elmira, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 17, 2026M••••••••• S••••• C•••• (PARTNER) left Schedule A between the filings of 2022-04-25 and 2026-07-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,124 to 2,359Jan 29, 2025 to Mar 12, 2026
- Advisory employees · 10 to 15Jan 29, 2025 to Mar 12, 2026
- Charity clients · 5 to 6Jan 29, 2025 to Mar 12, 2026
- Corporate clients · 10 to 16Jan 29, 2025 to Mar 12, 2026
- HNW clients · 247 to 258Jan 29, 2025 to Mar 12, 2026
- Individual clients · 725 to 778Jan 29, 2025 to Mar 12, 2026
- Pension plan clients · 37 to 38Jan 29, 2025 to Mar 12, 2026
- Assets in custody · $276M to $298MJan 29, 2025 to Mar 12, 2026
- Employees · 14 to 17Jan 29, 2025 to Mar 12, 2026
- State-registered IARs · 10 to 14Jan 29, 2025 to Mar 12, 2026
- Other offices · 2 to 3Jan 29, 2025 to Mar 12, 2026
- Discretionary RAUM · $1.2B to $1.4BJan 29, 2025 to Mar 12, 2026
- HNW RAUM · $889M to $981MJan 29, 2025 to Mar 12, 2026
- Individual RAUM · $277M to $337MJan 29, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $75.0M to $80.5MJan 29, 2025 to Mar 12, 2026
- Pension RAUM · $123M to $131MJan 29, 2025 to Mar 12, 2026
- RAUM · $1.3B to $1.5BJan 29, 2025 to Mar 12, 2026
- Accounts · 2,096 to 2,124Mar 12, 2024 to Jan 29, 2025
- Corporate clients · 8 to 10Mar 12, 2024 to Jan 29, 2025
- HNW clients · 231 to 247Mar 12, 2024 to Jan 29, 2025
- Individual clients · 663 to 725Mar 12, 2024 to Jan 29, 2025
- Pension plan clients · 35 to 37Mar 12, 2024 to Jan 29, 2025
- Assets in custody · $211M to $276MMar 12, 2024 to Jan 29, 2025
- Employees · 13 to 14Mar 12, 2024 to Jan 29, 2025
- Financial planning clients · 251-500 to 251-500Mar 12, 2024 to Jan 29, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 12, 2024 to Jan 29, 2025
- HNW RAUM · $754M to $889MMar 12, 2024 to Jan 29, 2025
- Individual RAUM · $223M to $277MMar 12, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $60.0M to $75.0MMar 12, 2024 to Jan 29, 2025
- Pension RAUM · $99.7M to $123MMar 12, 2024 to Jan 29, 2025
- RAUM · $1.1B to $1.3BMar 12, 2024 to Jan 29, 2025
- Accounts · 1,980 to 2,096Mar 24, 2023 to Mar 12, 2024
- Charity clients · 7 to 5Mar 24, 2023 to Mar 12, 2024
- Corporate clients · 9 to 8Mar 24, 2023 to Mar 12, 2024
- HNW clients · 223 to 231Mar 24, 2023 to Mar 12, 2024
- Individual clients · 717 to 663Mar 24, 2023 to Mar 12, 2024
- Pension plan clients · 37 to 35Mar 24, 2023 to Mar 12, 2024
- Assets in custody · $132M to $211MMar 24, 2023 to Mar 12, 2024
- Discretionary RAUM · $909M to $1.1BMar 24, 2023 to Mar 12, 2024
- HNW RAUM · $655M to $754MMar 24, 2023 to Mar 12, 2024
Signals
2 dated events
- A••••• W••••• P•••••••• L•• reported RAUM $769.3M, up 42% from $541.8M (2020-02-06 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- A••••• W••••• P•••••••• L•• reported RAUM $525.9M, up 28% from $411.8M (2017-08-18 to 2018-03-29)Mar 29, 2018 · 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
- 315-624-7300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-306-4220reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 607-734-2002reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ascent-wealth-partners-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 315-624-7300reportedpublic record, Form ADV, Jul 17, 2026
- Contact form
- ascentwealthpartners.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ascentwealthpartners.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026