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
H•••••• W••••• A•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 4, 2016 · 35 filings
SEC status approved since Mar 16, 2016
RAUM
$636M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$635M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$636M as of Jun 12, 2026
Mar 30, 2017$174M then
HNW client RAUM$513M as of Jun 12, 2026
Mar 22, 2018$112M then
State-registered IARs (5.B.3)10 as of Jun 12, 2026
Mar 30, 20174 then
Employees (5.A)17 as of Jun 12, 2026
Mar 30, 201710 then
Private funds: no history
RAUM +26% over the last fiscal year+19% a year over threeIARs 7 to 11
Practice profile
derived from the filing of Sep 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
- 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
- RAUM per advisor
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $322,936derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $126M, 186 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$513M81%
- Individuals$122M19%
- Corporations and businesses$366,2260.1%
- Charitable organizations$152,7660.0%
- Individual clients
- 341reported
- HNW clients
- 245reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 1,968reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $126M for 186 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• C••••••••• W•••Certified Financial Planner | Chapel Hill, Nc | Apr 29, 2016 | 14 y | 1 |
| B••••••• R•••••• Y•••••Certified Financial Planner, Chartered Financial Consultant | Chapel Hill, Nc | Apr 29, 2016 | 24 y | 1 |
| R•••••• S•••••• E••••••Certified Financial Planner, Chartered Financial Consultant | Chapel Hill, Nc | Apr 29, 2016 | 22 y | 1 |
| C••••••••• T••• H••••••••Certified Financial Planner | Chapel Hill, Nc | Apr 29, 2016 | 20 y | 1 |
| B••••••• L•••• B•••••••••Certified Financial Planner | Chapel Hill, Nc | Feb 16, 2019 | 11 y | 0 |
| S•••••• S•••• N•••••Certified Financial Planner | Chapel Hill, Nc | Jun 10, 2024 | 10 y | 0 |
| C•••••• A•••••••• R••••• | Chapel Hill, Nc | Jan 17, 2025 | 10 y | 1 |
| S•••• P••• | Chapel Hill, Nc | Jan 16, 2026 | 10 y | 0 |
| M•••••••• L• B•••Certified Financial Planner, Chartered Financial Consultant | Chapel Hill, Nc | Jun 8, 2026 | 10 y | 0 |
| E•••••••• D• S••••••Certified Financial Planner | Chapel Hill, Nc | Jun 9, 2026 | 24 y | 3 |
| R•••• A••• S••••• | Chapel Hill, Nc | Sep 8, 2026 | 10 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount3 left over 36 months
Left, latest
- R••• J•••• W••••••••• to I•••••• I••••••••• L••Apr 6, 2026 · Other
- T•••• B•••••• B••••••••• to E••••• W••••• A•••••••• L••Aug 27, 2025 · RIA to RIA
- K•••••••• G•••• B•••••• to C•••••• L••May 21, 2024 · RIA to RIA
- C••••• R•••••• B••• to H••••••• P•••• I••••••••• A•••••••• L••Apr 5, 2023 · RIA to RIA
Joined, latest
- E•••••••• D• S•••••• from V••••••• A•••••••• I•••Jun 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- C•••••• A•••••••• R••••• from E••••• J••••Jan 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••••••• G•••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 12, 2023 · Wirehouse to independent RIA
- C••••• R•••••• B••• from F•••••••• F•••••••• C••••••••• P•Jan 10, 2019 · Other
- B••••••• R•••••• Y••••• from A••••••••• F•••••••• S•••••••• L••Apr 29, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••••• S•••••• E•••••• from A••••••••• F•••••••• S•••••••• L••Apr 29, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• C••••••••• W••• from A••••••••• F•••••••• S•••••••• L••Apr 29, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• T••• H•••••••• from A••••••••• F•••••••• S•••••••• L••Apr 29, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from A••••••••• F•••••••• S•••••••• L••May 3, 2016 · Chapel Hill, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• R••••••• S•••••• · Managing Membercontrolsince 04/2016 · owns 25% to 50%
- H••••••••• C••••••••• T••• · Membercontrolsince 01/2019 · owns 5% to 10%
- P•••••• W•••••• R••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Y•••••• B•••••••• R•••••• · Managing Membercontrolsince 04/2016 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Chapel Hill, Nc · principal | 11 | 4 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Jun 12, 2026 to Sep 17, 2026
- Employees · 17 to 18Jun 12, 2026 to Sep 17, 2026
- Financial planning clients · 251-500 to 251-500Jun 12, 2026 to Sep 17, 2026
- State-registered IARs · 10 to 11Jun 12, 2026 to Sep 17, 2026
- Related adviser · false to unsetJun 12, 2026 to Sep 17, 2026
- Related bank · false to unsetJun 12, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetJun 12, 2026 to Sep 17, 2026
- Related insurance company · false to unsetJun 12, 2026 to Sep 17, 2026
- Succession · false to unsetJun 12, 2026 to Sep 17, 2026
- Advisory employees · 8 to 10Apr 6, 2026 to Jun 12, 2026
- Employees · 15 to 17Apr 6, 2026 to Jun 12, 2026
- State-registered IARs · 8 to 10Apr 6, 2026 to Jun 12, 2026
- Advisory employees · 9 to 8Feb 13, 2026 to Apr 6, 2026
- Employees · 16 to 15Feb 13, 2026 to Apr 6, 2026
- State-registered IARs · 9 to 8Feb 13, 2026 to Apr 6, 2026
- Accounts · 1,771 to 1,968Jan 30, 2026 to Feb 13, 2026
- Advisory employees · 7 to 9Jan 30, 2026 to Feb 13, 2026
- HNW clients · 179 to 245Jan 30, 2026 to Feb 13, 2026
- Individual clients · 346 to 341Jan 30, 2026 to Feb 13, 2026
- Pension plan clients · unset to 0.0Jan 30, 2026 to Feb 13, 2026
- Pooled vehicle clients · unset to 0.0Jan 30, 2026 to Feb 13, 2026
- Assets in custody · $117M to $126MJan 30, 2026 to Feb 13, 2026
- State-registered IARs · 7 to 9Jan 30, 2026 to Feb 13, 2026
- Discretionary RAUM · $503M to $636MJan 30, 2026 to Feb 13, 2026
- HNW RAUM · $370M to $513MJan 30, 2026 to Feb 13, 2026
- Individual RAUM · $132M to $122MJan 30, 2026 to Feb 13, 2026
- Pension RAUM · unset to 0.0Jan 30, 2026 to Feb 13, 2026
- Pooled vehicle RAUM · unset to 0.0Jan 30, 2026 to Feb 13, 2026
- RAUM · $503M to $636MJan 30, 2026 to Feb 13, 2026
- Employees · 12 to 16Feb 19, 2025 to Aug 27, 2025
- Accounts · 1,640 to 1,771Jul 30, 2024 to Feb 19, 2025
- Advisory employees · 6 to 7Jul 30, 2024 to Feb 19, 2025
- Advisory activities · 4 to 5Jul 30, 2024 to Feb 19, 2025
- HNW clients · 230 to 179Jul 30, 2024 to Feb 19, 2025
- Individual clients · 262 to 346Jul 30, 2024 to Feb 19, 2025
- Assets in custody · $129M to $117MJul 30, 2024 to Feb 19, 2025
- Employees · 13 to 12Jul 30, 2024 to Feb 19, 2025
- Financial planning clients · 251-500 to 251-500Jul 30, 2024 to Feb 19, 2025
- State-registered IARs · 6 to 7Jul 30, 2024 to Feb 19, 2025
- Discretionary RAUM · $433M to $503MJul 30, 2024 to Feb 19, 2025
Signals
8 dated events
- R••• J•••• W••••••••• left H•••••• W••••• A•••••••• L•• for I•••••• I••••••••• L•• (registered 2026-04-20)Apr 6, 2026 · Advisor changed firm · fact
- H•••••• W••••• A•••••••• L•• reported RAUM $635.5M, up 26% from $502.8M (2026-01-30 to 2026-02-13)Feb 13, 2026 · RAUM change · derived
- T•••• B•••••• B••••••••• left H•••••• W••••• A•••••••• L•• for E••••• W••••• A•••••••• L•• (registered 2025-08-07)Aug 27, 2025 · Advisor changed firm · fact
- K•••••••• G•••• B•••••• left H•••••• W••••• A•••••••• L•• for C•••••• L•• (registered 2024-07-12)May 21, 2024 · Advisor changed firm · fact
- C••••• R•••••• B••• left H•••••• W••••• A•••••••• L•• for H••••••• P•••• I••••••••• A•••••••• L•• (registered 2023-05-12)Apr 5, 2023 · Advisor changed firm · fact
- Robert Wesley Pitman (Chief Compliance Officer) appeared on Schedule A of H•••••• W••••• A•••••••• L••Feb 3, 2023 · Control person joined · fact
- Todd Christopher Hostetler (Member) appeared on Schedule A of H•••••• W••••• A•••••••• L••Mar 11, 2019 · Control person joined · fact
- A•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 2016 · First SEC registration · 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
- Website
- ascendhilltop.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (919) 401-1500reportedpublic record, Form ADV, 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
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026