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
Ascentis Independent Advisors, LLC
Latest filing Jul 13, 2026
First filing on the tape Jul 25, 2022 · 28 filings
SEC status approved since Aug 25, 2022
RAUM
$2.1B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
95%
$2.0B individuals and HNW
Advisors
47
registered through the firm on IAPD
RAUM per advisor
$44.6M
derived; firm RAUM over IAPD count
Employees
43
39 advisory (5.B.1)
Offices
28
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.1B as of Jul 13, 2026
Sep 19, 2022$405M then
HNW client RAUM$1.5B as of Jul 13, 2026
Sep 19, 2022$273M then
State-registered IARs (5.B.3)25 as of Jul 13, 2026
Sep 19, 202216 then
Employees (5.A)43 as of Jul 13, 2026
Sep 19, 202224 then
Private funds: no history
RAUM +138% over the last fiscal year+63% a year over threeIARs 25 to 25offices 19 to 28
Practice profile
derived from the filing of Jul 13, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $44.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $280,662derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 1.6derived29 offices incl. principal (1.F.5)
- RAUM growth, one year
- +138%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +83%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $854MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B70%
- Individuals$511M24%
- Corporations and businesses$91.3M4.4%
- Pension and profit-sharing plans$13.2M0.6%
- Charitable organizations$4.1M0.2%
- Investment companies$26,3190.0%
- Individual clients
- 2,080reported
- HNW clients
- 610reported
- Pension plan clients
- 44reported
- Charitable clients
- 9reported
- Accounts
- 7,464reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
40 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Shannon Asher Kujawa | Newport Beach, Ca | Sep 16, 2022 | 17 y | 2 |
| Misty Dejon PorterCertified Financial Planner | Dallas, Tx | Sep 16, 2022 | 22 y | 3 |
| Jonathan Miller Larsen | Lehi, Ut | Sep 16, 2022 | 26 y | 3 |
| Lee Burton Jones | Dallas, Tx | Sep 16, 2022 | 23 y | 8 |
| Todd Aaron Schneider | Dallas, Tx | Sep 16, 2022 | 15 y | 5 |
| Timothy John Dowd | Dallas, Tx | Sep 16, 2022 | 11 y | 3 |
| Nathan Gonzalo Enriquez | Dallas, Tx | Sep 19, 2022 | 10 y | 2 |
| William Dale Byford | Las Cruces, Nm | Sep 19, 2022 | 29 y | 4 |
| Kelli Anne YoungChartered Financial Consultant | North Bend, Wa | Sep 20, 2022 | 21 y | 4 |
| Gina Lee RypkemaCertified Financial Planner | Bemidji, Mn | Jan 31, 2023 | 25 y | 1 |
| Benjamin James MarshallCertified Financial Planner | Lehi, Ut | May 30, 2023 | 19 y | 9 |
| Mary E. Avella | Lafayette, Ca | Sep 29, 2023 | 13 y | 2 |
| Donna Marie Gunderson | Dallas, Tx | Jan 18, 2024 | 11 y | 2 |
| Nancy A Mccoyne | Bemidji, Mn | Feb 1, 2024 | 10 y | 1 |
| Shelley Dawn Lof | Park Rapids, Mn | Feb 1, 2024 | 18 y | 1 |
| Heather Mae Rypkema Bjorgaard | Bemidji, Mn | Aug 8, 2024 | 12 y | 0 |
| Allen W Livingston | Richmond, Ut | Dec 5, 2024 | 33 y | 4 |
| Jordan Vander PoortenCertified Financial Planner | Dallas, Tx | Jan 1, 2025 | 11 y | 2 |
| John Robert Young | Dallas, Tx | Jun 16, 2025 | 25 y | 2 |
| Elizabeth Christina De Muro | Newport Beach, Ca | Sep 6, 2025 | 13 y | 4 |
| Colton Montgomery LightnerCertified Financial Planner | Osprey, Fl | Oct 2, 2025 | 13 y | 3 |
| Michael Paul Otterson | Dallas, Tx | Jan 8, 2026 | 20 y | 8 |
| George Elias | Brunswick, Oh | Jan 8, 2026 | 14 y | 6 |
| Grant Christopher Wilson | Charlotte, Nc | Jan 8, 2026 | 10 y | 3 |
| Trevin Charles Seskey | Sewickley, Pa | Jan 8, 2026 | 14 y | 1 |
| Timothy Dean Griffith | Seattle, Wa | Jan 8, 2026 | 42 y | 4 |
| Sarah Abigail Brace | Dallas, Tx | Jan 8, 2026 | 26 y | 4 |
| Julian Anthony Korber | Denver, Co | Jan 8, 2026 | 23 y | 2 |
| James Louis Matt | Scottsdale, Az | Jan 8, 2026 | 28 y | 8 |
| Thomas Clarkson WorthCertified Financial Planner | Dallas, Tx | Jan 8, 2026 | 26 y | 4 |
| Brian Richard TinkerCertified Financial Planner | Torrance, Ca | Jan 8, 2026 | 26 y | 8 |
| Jeffrey J CismoskiCertified Financial Planner | Schaumberg, Il | Jan 8, 2026 | 15 y | 4 |
| Dominic J Messina | Okatie, Sc | Jan 8, 2026 | 15 y | 7 |
| Jody Daniel Howard | Greenville, Sc | Jan 8, 2026 | 28 y | 4 |
| James Raymond NewmanCertified Financial Planner | Dallas, Tx | Jan 8, 2026 | 11 y | 3 |
| Joseph Clarence Leary | Dallas, Tx | Jan 8, 2026 | 16 y | 2 |
| Stephanie Ann Hunter | Sewickley, Pa | Jan 9, 2026 | 28 y | 6 |
| Timothy Paul Miller | Dallas, Tx | Jan 9, 2026 | 39 y | 6 |
| Christa MadisonCertified Financial Planner | Okatie, Sc | May 19, 2026 | 18 y | 1 |
| Megan Leigh Brown | Waleska, Ga | Aug 21, 2026 | 14 y | 3 |
Advisor movement
1 left, 20 joined in 12 months
net +19 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 2.1% of current headcount5 left over 36 months
Left, latest
- John David Pak to Ascentis Asset Management, LLCAug 3, 2026 · RIA to RIA
- James Gordon Miller to Baobab Wealth ManagementApr 11, 2025 · RIA to a state-registered adviser
- David Michael Eldridge to Kingdom Financial Group, LLCJan 9, 2025 · RIA to RIA
- John Zamboanga to Infinity Financial Services AdvisoryDec 2, 2024 · RIA to RIA
- Nathan Adam Frerichs to Blue Mountain Wealth ManagementSep 3, 2024 · RIA to a state-registered adviser
- Jean-Paul Simon Afif to Morgan StanleyMay 25, 2023 · RIA to wirehouse
- Francisco Blas Salas to United Advisor GroupApr 17, 2023 · RIA to RIA
Joined, latest
- Megan Leigh Brown from Dempsey Lord Smith, LLCAug 21, 2026 · RIA to RIA
- Christa Madison from Curi Capital, LLCMay 19, 2026 · RIA to RIA
- Timothy Paul Miller from Org PartnersJan 9, 2026 · RIA to RIA
- Stephanie Ann Hunter from Org PartnersJan 9, 2026 · RIA to RIA
- Thomas Clarkson Worth from Org PartnersJan 8, 2026 · RIA to RIA
- Joseph Clarence Leary from Org PartnersJan 8, 2026 · RIA to RIA
- Trevin Charles Seskey from Org PartnersJan 8, 2026 · RIA to RIA
- Timothy Dean Griffith from Org PartnersJan 8, 2026 · RIA to RIA
- Sarah Abigail Brace from Org PartnersJan 8, 2026 · RIA to RIA
- Julian Anthony Korber from Org PartnersJan 8, 2026 · RIA to RIA
- James Louis Matt from Freedom Investment Management, Inc.Jan 8, 2026 · RIA to RIA
- Brian Richard Tinker from Org PartnersJan 8, 2026 · RIA to RIA
- Jody Daniel Howard from Org PartnersJan 8, 2026 · RIA to RIA
- Michael Paul Otterson from Freedom Investment Management, Inc.Jan 8, 2026 · RIA to RIA
- Jeffrey J Cismoski from Org PartnersJan 8, 2026 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Org PartnersJan 5, 2026 · Torrance, Ca
- 2 joined from Org PartnersJan 5, 2026 · Schaumburg, Il
- 7 joined from Org PartnersJan 5, 2026 · Dallas, Tx
- 4 joined from Ameriprise Financial Services, LLCFeb 2, 2023 · Bemidji, Mn
- 12 joined from Golden State Equity Advisors, LLCSep 20, 2022 · South Coast Metro, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Daniel Catone · Managing Membercontrolsince 03/2018 · owns 25% to 50%
- Michael Patrick Jeffs-Catone · Directorcontrolsince 03/2018 · owns less than 5%
- Emile John Nahas · Ceocontrolsince 11/2017 · owns less than 5%
- Gaynell Catherine Bailey · Directorsince 01/2026 · owns less than 5%
- Mark Matthew Reynolds · Chief Compliance Officersince 08/2025 · owns less than 5%
Entity owners
- Ascentis Operations, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Ascentis Asset Management, LLCinvestment advisern
- Golden State Wealth Management, LLCinvestment advisernRAUM $2.2B
- Redwood Investment Group, Incinvestment advisernRAUM $230M
Advisers that list Ascentis Independent Advisors, LLC as a related person
- 168017 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 47 | 21 | 0 | ||
| Bemidji, Mn | 4 | 0 | 0 | ||
| Charlotte, Nc | 4 | 4 | 0 | ||
| Park Rapids, Mn | 4 | 0 | 0 | ||
| Okatie, Sc | 3 | 3 | 0 | ||
| Newport Beach, Ca | 3 | 0 | 0 | ||
| Schaumberg, Il | 3 | 3 | 0 | ||
| Sewickley, Pa | 3 | 3 | 0 | ||
| Las Cruces, Nm | 2 | 0 | 0 | ||
| Torrance, Ca | 2 | 2 | 0 | ||
| Lehi, Ut | 2 | 0 | 0 | ||
| Livermore, Ca | 0 | 0 | 0 | ||
| Nokomis, Fl | 0 | 0 | 0 | ||
| Encinitas, Ca | 0 | 0 | 1 | ||
| Phoenix, Az | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Park Rapids, MN7 employees
- Bemidji, MN4 employees
- Bemidji, MN3 employees
- Las Cruces, NM1 employees
- Las Cruces, NM1 employees
- Lehi, UT1 employees
- Lehi, UT1 employees
- Newport Beach, CA1 employees
- North Bend, WA1 employees
- Powell, WY1 employees
- San Diego, CA1 employees
- Southlake, TX1 employees
- Troy, MI1 employees
- Yucca Valley, CA1 employees
- Anchorage, AK1 employees
- , 1 employees
- Encinitas, CA1 employees
- Lafayette, CA1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 13, 2026CATONE, DANIEL, ROBERT (MANAGING MEMBER) left Schedule A between the filings of 2022-07-25 and 2026-07-13peers: independent wealth managers, $1B to $5B (1,360)
- account count surgeChange between filings · filing Apr 28, 2026accounts (Item 5.F.2.f) moved from 4,604.0 to 7,464.0 (+62.0%) between the annual amendments of 2025-04-11 and 2026-04-28; the peer median change was +6.0% (1206 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 94% percentile
- client count surgeChange between filings · filing Apr 28, 2026individual and HNW clients (Item 5.D) moved from 1,467.0 to 2,690.0 (+83.0%) between the annual amendments of 2025-04-11 and 2026-04-28; the peer median change was +5.0% (1132 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 98% percentile
- employee count surgeChange between filings · filing Apr 28, 2026employees (Item 5.A) moved from 26.0 to 43.0 (+65.0%) between the annual amendments of 2025-04-11 and 2026-04-28; the peer median change was +4.0% (1050 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 97% percentile
- RAUM up 50 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $880,384,165 to $2,094,861,769 (+138.0%) between the annual amendments of 2025-04-11 and 2026-04-28; the peer median change was +17.0% (1297 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 6,351 to 7,464Feb 4, 2026 to Mar 31, 2026
- Advisory employees · 25 to 39Feb 4, 2026 to Mar 31, 2026
- Charity clients · 6 to 9Feb 4, 2026 to Mar 31, 2026
- Corporate clients · 33 to 71Feb 4, 2026 to Mar 31, 2026
- HNW clients · 490 to 610Feb 4, 2026 to Mar 31, 2026
- Individual clients · 1,678 to 2,080Feb 4, 2026 to Mar 31, 2026
- Pension plan clients · 1 to 44Feb 4, 2026 to Mar 31, 2026
- Employees · 27 to 43Feb 4, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $2.0BFeb 4, 2026 to Mar 31, 2026
- HNW RAUM · $1.1B to $1.5BFeb 4, 2026 to Mar 31, 2026
- Individual RAUM · $442M to $511MFeb 4, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $59.9M to $132MFeb 4, 2026 to Mar 31, 2026
- Pension RAUM · $722,937 to $13.2MFeb 4, 2026 to Mar 31, 2026
- RAUM · $1.7B to $2.1BFeb 4, 2026 to Mar 31, 2026
- Accounts · 4,604 to 6,351Dec 14, 2025 to Jan 5, 2026
- Business name · GOLDEN STATE EQUITY PARTNERS, LLC to ASCENTIS INDEPENDENT ADVISORS, LLCDec 14, 2025 to Jan 5, 2026
- Charity clients · 5 to 6Dec 14, 2025 to Jan 5, 2026
- Corporate clients · 17 to 33Dec 14, 2025 to Jan 5, 2026
- HNW clients · 276 to 490Dec 14, 2025 to Jan 5, 2026
- Individual clients · 1,191 to 1,678Dec 14, 2025 to Jan 5, 2026
- Legal name · GOLDEN STATE EQUITY PARTNERS, LLC to ASCENTIS INDEPENDENT ADVISORS, LLCDec 14, 2025 to Jan 5, 2026
- Other offices · 19 to 28Dec 14, 2025 to Jan 5, 2026
- Discretionary RAUM · $880M to $1.6BDec 14, 2025 to Jan 5, 2026
- HNW RAUM · $597M to $1.1BDec 14, 2025 to Jan 5, 2026
- Individual RAUM · $263M to $442MDec 14, 2025 to Jan 5, 2026
- Non-discretionary RAUM · $0 to $59.9MDec 14, 2025 to Jan 5, 2026
- RAUM · $880M to $1.7BDec 14, 2025 to Jan 5, 2026
- HQ city · SOUTH COAST METRO to DALLASNov 11, 2025 to Dec 14, 2025
- HQ state · CA to TXNov 11, 2025 to Dec 14, 2025
- Advisory employees · 24 to 25May 12, 2025 to Jun 19, 2025
- Employees · 26 to 27May 12, 2025 to Jun 19, 2025
- Financial planning clients · 51-100 to 51-100May 12, 2025 to Jun 19, 2025
- Other offices · 18 to 19May 12, 2025 to Jun 19, 2025
- Other offices · 19 to 18Apr 11, 2025 to May 12, 2025
- Accounts · 4,106 to 4,604Feb 4, 2025 to Apr 11, 2025
- Charity clients · 4 to 5Feb 4, 2025 to Apr 11, 2025
- Corporate clients · 18 to 17Feb 4, 2025 to Apr 11, 2025
- HNW clients · 238 to 276Feb 4, 2025 to Apr 11, 2025
- Employees · 25 to 26Feb 4, 2025 to Apr 11, 2025
- Other offices · 20 to 19Feb 4, 2025 to Apr 11, 2025
Signals
19 dated events
- John David Pak left Ascentis Independent Advisors, Llc for Ascentis Asset Management, Llc (registered 2025-03-05)Aug 3, 2026 · Advisor changed firm · fact
- Ascentis Independent Advisors, Llc reported RAUM $2.1B, up 27% from $1.7B (2026-02-04 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Ascentis Independent Advisors, Llc reported 28 offices beyond its principal office, up from 19 (2025-12-14 to 2026-01-05)Jan 5, 2026 · Office count change · derived
- Ascentis Independent Advisors, Llc reported RAUM $1.7B, up 88% from $880.4M (2025-12-14 to 2026-01-05)Jan 5, 2026 · RAUM change · derived
- 2 advisors left Org Partners (Torrance, CA) for Ascentis Independent Advisors, LLC on the same dayJan 5, 2026 · Team lift-out · derived
- 7 advisors left Org Partners (Dallas, TX) for Ascentis Independent Advisors, LLC on the same dayJan 5, 2026 · Team lift-out · derived
- 2 advisors left Org Partners (Schaumburg, IL) for Ascentis Independent Advisors, LLC on the same dayJan 5, 2026 · Team lift-out · derived
- James Gordon Miller left Ascentis Independent Advisors, Llc for Baobab Wealth Management (registered 2025-04-04)Apr 11, 2025 · Advisor changed firm · fact
- David Michael Eldridge left Ascentis Independent Advisors, Llc for Kingdom Financial Group, Llc (registered 2024-10-23)Jan 9, 2025 · Advisor changed firm · fact
- John Zamboanga left Ascentis Independent Advisors, Llc for Infinity Financial Services Advisory (registered 2024-12-11)Dec 2, 2024 · Advisor changed firm · fact
- Nathan Adam Frerichs left Ascentis Independent Advisors, Llc for Blue Mountain Wealth Management (registered 2025-02-11)Sep 3, 2024 · Advisor changed firm · fact
- Ascentis Independent Advisors, Llc reported 20 offices beyond its principal office, up from 13 (2024-03-05 to 2024-03-21)Mar 21, 2024 · Office count change · derived
- Ascentis Independent Advisors, Llc reported 25 state-registered advisory representatives, up from 10 (2024-03-05 to 2024-03-21)Mar 21, 2024 · Advisor headcount change · derived
- Ascentis Independent Advisors, Llc reported RAUM $743.7M, up 55% from $479.5M (2024-03-05 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- Jean-Paul Simon Afif left Ascentis Independent Advisors, Llc for Morgan Stanley (registered 2023-05-25)May 25, 2023 · Advisor changed firm · fact
- Francisco Blas Salas left Ascentis Independent Advisors, Llc for United Advisor Group (registered 2026-02-19)Apr 17, 2023 · Advisor changed firm · fact
- 4 advisors left Ameriprise Financial Services, LLC (Bemidji, MN) for Ascentis Independent Advisors, LLC within 4 daysFeb 2, 2023 · Team lift-out · derived
- Golden State Equity Advisors, LLC's advisors moved to Ascentis Independent Advisors, LLC (South Coast Metro, CA): 10 of 18 registered, on the same daySep 20, 2022 · Firm absorbed (people side) · derived
- Golden State Equity Partners, Llc filed its initial SEC registration (Form ADV)Jul 25, 2022 · 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
- ascentisadvisor.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 866-273-1563reportedpublic record, Form ADV, Jul 13, 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
- $44.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026