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••••• C•••••• P•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Oct 10, 2025 · 2 filings
SEC status approved since Sep 30, 2025
RAUM
$172M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
47%
$80.7M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$21.5M
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$172M as of Apr 1, 2026
Oct 10, 2025$197M then
HNW client RAUM$80.5M as of Apr 1, 2026
Oct 10, 2025$75.6M then
State-registered IARs (5.B.3)7 as of Apr 1, 2026
Oct 10, 20257 then
Employees (5.A)10 as of Apr 1, 2026
Oct 10, 202510 then
Private funds7 as of Apr 1, 2026
Oct 10, 20257 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $21.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$91.4M53%
- High-net-worth individuals$80.5M47%
- Individuals$159,3170.1%
- Individual clients
- 7reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 163reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.47 fund_share=0.53 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A•••••• P••••••Certified Financial Planner | S••••Sdale, Az | Jan 3, 2018 | 23 y | 4 |
| J••••••• L••••••• | Dallas, Tx | Mar 12, 2021 | 12 y | 3 |
| A••• S•••••• I••••• | S••••Sdale, Az | Nov 20, 2023 | 11 y | 0 |
| S•••• E••• S••••••• | S••••Sdale, Az | Apr 1, 2024 | 30 y | 0 |
| V••••• C•••• | S••••Sdale, Az | Apr 4, 2024 | 13 y | 0 |
| J••• H•••• B••••Certified Financial Planner | S••••Sdale, Az | Jan 3, 2025 | 11 y | 6 |
| C•••• S••• W••• | S••••Sdale, Az | Mar 7, 2025 | 11 y | 0 |
| D•••••• S•••• | S••••Sdale, Az | Apr 6, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• H•••• B•••• from A•••• L•••••••• P••••••• G•••• L••Jan 3, 2025 · Other
- J••••••• L••••••• from R•••• P•••••• C••••• L••Mar 12, 2021 · RIA to RIA
- M••• A•••••• P•••••• from T• P•••••• W•••••Jan 3, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J••••••• · Managing Directorcontrolsince 01/2022 · owns less than 5%
- P••••••• M•••• A•••••• · Cco & Managing Directorcontrolsince 01/2018 · owns less than 5%
Entity owners
- A••••• C••••••••• I•• · Holding Companydirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| S••••Sdale, Az · principal | 8 | 1 | 0 | ||
| Dallas, Tx | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 26-50Oct 10, 2025 to Apr 1, 2026
- Discretionary RAUM · $195M to $170MOct 10, 2025 to Apr 1, 2026
- HNW RAUM · $75.6M to $80.5MOct 10, 2025 to Apr 1, 2026
- Individual RAUM · $121,852 to $159,317Oct 10, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $1.9M to $2.0MOct 10, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $121M to $91.4MOct 10, 2025 to Apr 1, 2026
- RAUM · $197M to $172MOct 10, 2025 to Apr 1, 2026
- Accounts · 141 to 163Oct 10, 2025 to Apr 1, 2026
- HNW clients · 50 to 55Oct 10, 2025 to Apr 1, 2026
- Individual clients · 4 to 7Oct 10, 2025 to Apr 1, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@myascent.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 972-856-8136reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- myascent.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (480) 841-6956reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- myascent.net/contactreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026