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.
SEC-registered adviser
The Ascent Group, LLC
Latest filing Mar 30, 2026
First filing on the tape Apr 9, 2021 · 17 filings
SEC status approved since May 10, 2021
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$3.5B individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$238M
derived; firm RAUM over IAPD count
Employees
44
19 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$4.8B as of Mar 30, 2026
Mar 30, 2022$2.5B then
HNW client RAUM$2.6B as of Mar 30, 2026
Mar 30, 2022$919M then
State-registered IARs (5.B.3)19 as of Mar 30, 2026
Mar 30, 202225 then
Employees (5.A)44 as of Mar 30, 2026
Mar 30, 202230 then
Private funds: no history
RAUM -3.5% over the last fiscal year+24% a year over threeIARs 18 to 19
Practice profile
derived from the filing of Mar 30, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- 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
- $238MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 209derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $563,451derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 2.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 2,000reportedItem 5.H
- Custody
- $4.9M, 14 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
- 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$2.6B54%
- Individuals$944M20%
- Pension and profit-sharing plans$933M20%
- Corporations and businesses$175M3.7%
- Charitable organizations$115M2.4%
- Individual clients
- 3,303reported
- HNW clients
- 874reported
- Pension plan clients
- 65reported
- Charitable clients
- 16reported
- Accounts
- 8,449reported
- Financial planning clients
- 2,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.9M for 14 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.22 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael John MossCertified Financial Planner | Aldie, Va | May 13, 2021 | 14 y | 2 |
| Catherine Marie Town | Wayne, Pa | May 14, 2021 | 13 y | 1 |
| Brian WalshCertified Financial Planner | Wayne, Pa | May 14, 2021 | 12 y | 1 |
| Kevin Patrick Nicholson | Wayne, Pa | May 14, 2021 | 40 y | 1 |
| Brian Patrick WalshChartered Financial Consultant | Hilton Head, Sc | May 14, 2021 | 41 y | 2 |
| Steven M Paolini | Haddonfield, Nj | May 20, 2021 | 28 y | 1 |
| Mark Stephen Batzel | Virginia Beach, Va | Jun 2, 2021 | 37 y | 2 |
| Jeffrey Michael Silverman | Virginia Beach, Va | Jun 2, 2021 | 36 y | 2 |
| Ashley Dorroh Galler | Virginia Beach, Va | Jun 3, 2021 | 28 y | 2 |
| David Wayne Stockmeier | Virginia Beach, Va | Jun 10, 2021 | 34 y | 2 |
| Timothy Seiders | Wayne, Pa | Jun 21, 2021 | 39 y | 2 |
| Caitlin M West | Virginia Beach, Va | Jun 22, 2022 | 19 y | 7 |
| Dominick Leuzzi | Virginia Beach, Va | Aug 22, 2022 | 14 y | 1 |
| Darren JarosikCertified Financial Planner, Chartered Financial Consultant | Hickman, Ne | Apr 4, 2025 | 11 y | 3 |
| Andrue Joseph Nicholas | Wayne, Pa | Jul 10, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount1 left over 36 months
Left, latest
- Kristopher Donald Thompson to Modera Wealth Management, LLCApr 2, 2026 · RIA to RIA
- Joseph Salvatore Pantozzi to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- John Alan Pelham to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- Chad David Moseley to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- James Brad Lowe to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- Jonathan Craig Walker to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- Justin Randall Craft to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- Valerie Kim Laroque to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- Jeffrey Dean Allen to Ameritas Advisory Services, LLCMay 15, 2023 · RIA to affiliated broker-dealer or bank
- John Butler Blalock to Blalock Williams, LLCMay 1, 2023 · RIA to RIA
- Devereaux Lee Williams to Blalock Williams, LLCMay 1, 2023 · RIA to RIA
- John Michael Gambone to Vital Capital LLCAug 19, 2022 · RIA to a state-registered adviser
- David Randall Guttery to Ameritas Advisory Services, LLCAug 6, 2021 · Other
Joined, latest
- Darren Jarosik from Northwestern Mutual Investment Services,LLCApr 4, 2025 · Other
- Kristopher Donald Thompson from Key Financial, Inc.Apr 12, 2024 · RIA to RIA
- Dominick Leuzzi from Ameritas Advisory Services, LLCAug 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- Caitlin M West from Journey Strategic Wealth LLCJun 22, 2022 · RIA to RIA
- Joseph Salvatore Pantozzi from Carillon Investments, Inc.Sep 20, 2021 · Other
- Valerie Kim Laroque from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 7, 2021 · Wirehouse to independent RIA
- Timothy Seiders from Ameritas Advisory ServicesJun 21, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- John Alan Pelham from The Advisors Group, Inc.Jun 15, 2021 · Other
- Chad David Moseley from The Advisors Group, Inc.Jun 15, 2021 · Other
- Jonathan Craig Walker from The Advisors Group, Inc.Jun 15, 2021 · Other
- Justin Randall Craft from The Advisors Group, Inc.Jun 15, 2021 · Other
- John Butler Blalock from Ameritas Advisory ServicesJun 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- Devereaux Lee Williams from Ameritas Advisory ServicesJun 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- Jeffrey Dean Allen from Raymond James & Associates, Inc.Jun 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- David Wayne Stockmeier from Ameritas Advisory ServicesJun 10, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Ameritas Advisory Services, LLCMay 15, 2023 · Homewood, Al
- 2 left for Ameritas Advisory Services, LLCMay 15, 2023 · Virginia Beach, Va
- 5 joined from Ameritas Advisory ServicesNov 5, 2021 · Freeport, Ny
- 2 joined from Ameritas Advisory ServicesNov 5, 2021 · Wayne, Pa
- 2 joined from Ameritas Advisory ServicesSep 9, 2021 · Homewood, Al
- 6 joined from Ameritas Advisory ServicesJun 7, 2021 · Freeport, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Rachel Lyndsay Kim · Chief Compliance Officercontrolsince 04/2025 · owns less than 5%
- Holly Knight · Retirement Plan Services Practice Leadercontrolsince 08/2025 · owns less than 5%
- John Michael Moss · President Of Wealth Servicescontrolsince 04/2021 · owns less than 5%
- Michael Jeffrey Silverman · Managing Partnercontrolsince 04/2021 · owns less than 5%
- Ann Jennifer Bures · Vice Presidentsince 12/2022 · owns less than 5%
- Christian Mango · Vice Presidentsince 12/2022 · owns less than 5%
Entity owners
- Alera Group Inc · Managing Member/ Parent Companydirect · owns 75% or more
- Alera Group Holdings, Inc. · Shareholderindirect · owns 75% or more of Alera Group Intermediate Holdings, LLC
- Alera Group Intermediate Holdings, LLC · Shareholderindirect · owns 75% or more of Alera Group Inc
- Alera Group Ultimate Holdings, LLC · Shareholderindirect · owns 75% or more of Alera Group Holdings, Inc.
- Genstar Capital Partners X, L.P. · Shareholderindirect · owns 25% to 50% of Genstar X Alera Group Holdings, LLC
- Genstar X Alera Group Holdings, LLC · Shareholderindirect · owns 25% to 50% of Alera Group Ultimate Holdings, LLC
Related persons
Schedule D 7.A
- Alera Investment Advisors, LLCinvestment advisernRAUM $5.3B
- Alera Retirement Advisors, LLCinvestment advisernRAUM $45.7M
- Johnson Brunettiinvestment advisernRAUM $2.8B
- Wharton Business Group, LLCinvestment advisernRAUM $4.6B
Advisers that list The Ascent Group, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 12 | 1 | 0 | ||
| Wayne, Pa | 8 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Wayne, PA8 employees
- Haddonfield, NJ1 employees
- Hilton Head, SC1 employees
- Landsdale, PA1 employees
- Wayne, PA1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026KIM, LYNDSAY, RACHEL (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-03-30 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 30, 2026KNIGHT, HOLLY (RETIREMENT PLAN SERVICES PRACTICE LEADER) appeared on Schedule A between the filings of 2023-03-30 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 25.0 to 44.0 (+76.0%) between the annual amendments of 2025-04-22 and 2026-03-30; the peer median change was +4.0% (1050 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 7,304 to 8,449Nov 24, 2025 to Mar 30, 2026
- Advisory employees · 4 to 19Nov 24, 2025 to Mar 30, 2026
- Advisory activities · 5 to 6Nov 24, 2025 to Mar 30, 2026
- BD registered reps · 19 to 18Nov 24, 2025 to Mar 30, 2026
- Charity clients · 21 to 16Nov 24, 2025 to Mar 30, 2026
- Corporate clients · 27 to 34Nov 24, 2025 to Mar 30, 2026
- HNW clients · 803 to 874Nov 24, 2025 to Mar 30, 2026
- Individual clients · 2,730 to 3,303Nov 24, 2025 to Mar 30, 2026
- Pension plan clients · 122 to 65Nov 24, 2025 to Mar 30, 2026
- Assets in custody · $25.6M to $4.9MNov 24, 2025 to Mar 30, 2026
- Employees · 25 to 44Nov 24, 2025 to Mar 30, 2026
- Insurance-licensed employees · 0 to 4Nov 24, 2025 to Mar 30, 2026
- State-registered IARs · 18 to 19Nov 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.9B to $4.8BNov 24, 2025 to Mar 30, 2026
- HNW RAUM · $2.2B to $2.6BNov 24, 2025 to Mar 30, 2026
- Individual RAUM · $746M to $944MNov 24, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $10.0M to $9.9MNov 24, 2025 to Mar 30, 2026
- Pension RAUM · $1.7B to $933MNov 24, 2025 to Mar 30, 2026
- RAUM · $4.9B to $4.8BNov 24, 2025 to Mar 30, 2026
- Related broker-dealer · false to trueJun 30, 2025 to Aug 18, 2025
- Financial planning clients · More than 500 to More than 500Apr 22, 2025 to Jun 30, 2025
- Accounts · 4,261 to 7,304Aug 26, 2024 to Apr 22, 2025
- Advisory employees · 21 to 4Aug 26, 2024 to Apr 22, 2025
- Charity clients · 20 to 21Aug 26, 2024 to Apr 22, 2025
- Corporate clients · 19 to 27Aug 26, 2024 to Apr 22, 2025
- HNW clients · 446 to 803Aug 26, 2024 to Apr 22, 2025
- Individual clients · 1,393 to 2,730Aug 26, 2024 to Apr 22, 2025
- Pension plan clients · 100 to 122Aug 26, 2024 to Apr 22, 2025
- Assets in custody · $21.8M to $25.6MAug 26, 2024 to Apr 22, 2025
- Employees · 23 to 25Aug 26, 2024 to Apr 22, 2025
- State-registered IARs · 10 to 18Aug 26, 2024 to Apr 22, 2025
- Discretionary RAUM · $2.9B to $4.9BAug 26, 2024 to Apr 22, 2025
- HNW RAUM · $1.2B to $2.2BAug 26, 2024 to Apr 22, 2025
- Individual RAUM · $373M to $746MAug 26, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $0 to $10.0MAug 26, 2024 to Apr 22, 2025
- Pension RAUM · $1.2B to $1.7BAug 26, 2024 to Apr 22, 2025
- RAUM · $2.9B to $4.9BAug 26, 2024 to Apr 22, 2025
- Accounts · 5,077 to 4,261Jan 9, 2024 to Mar 28, 2024
- Advisory employees · 25 to 21Jan 9, 2024 to Mar 28, 2024
- BD registered reps · 24 to 19Jan 9, 2024 to Mar 28, 2024
Signals
17 dated events
- Kristopher Donald Thompson left The Ascent Group, Llc for Modera Wealth Management, Llc (registered 2026-04-13)Apr 2, 2026 · Advisor changed firm · fact
- The Ascent Group, Llc reported RAUM $4.9B, up 71% from $2.9B (2024-08-26 to 2025-04-22)Apr 22, 2025 · RAUM change · derived
- The Ascent Group, Llc reported 10 state-registered advisory representatives, down from 25 (2024-01-09 to 2024-03-28)Mar 28, 2024 · Advisor headcount change · derived
- Justin Randall Craft left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2023-02-24)May 15, 2023 · Advisor changed firm · fact
- James Brad Lowe left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2023-03-31)May 15, 2023 · Advisor changed firm · fact
- Chad David Moseley left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2023-03-31)May 15, 2023 · Advisor changed firm · fact
- Joseph Salvatore Pantozzi left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2021-11-01)May 15, 2023 · Advisor changed firm · fact
- John Alan Pelham left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2023-03-31)May 15, 2023 · Advisor changed firm · fact
- Jonathan Craig Walker left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2023-02-27)May 15, 2023 · Advisor changed firm · fact
- Valerie Kim Laroque left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2023-05-04)May 15, 2023 · Advisor changed firm · fact
- Jeffrey Dean Allen left The Ascent Group, Llc for Ameritas Advisory Services, Llc (registered 2023-03-31)May 15, 2023 · Advisor changed firm · fact
- 5 advisors left The Ascent Group, LLC (Virginia Beach, VA) for Ameritas Advisory Services, LLC on the same dayMay 15, 2023 · Team lift-out · derived
- 2 advisors left The Ascent Group, LLC (Homewood, AL) for Ameritas Advisory Services, LLC on the same dayMay 15, 2023 · Team lift-out · derived
- Devereaux Lee Williams left The Ascent Group, Llc for Blalock Williams, Llc (registered 2023-03-09)May 1, 2023 · Advisor changed firm · fact
- John Butler Blalock left The Ascent Group, Llc for Blalock Williams, Llc (registered 2023-03-09)May 1, 2023 · Advisor changed firm · fact
- John Michael Gambone left The Ascent Group, Llc for Vital Capital Llc (registered 2022-10-24)Aug 19, 2022 · Advisor changed firm · fact
- The Ascent Group, Llc filed its initial SEC registration (Form ADV)Apr 9, 2021 · 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
- tagwm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 757-499-8300reportedpublic record, Form ADV, Mar 30, 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
- $238Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026