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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Former SEC-registered adviser

A••••• W••••• M••••••••• G••••• L••

Former SEC-registered adviserCoral Gables, FloridaCRD 325532SEC 801-127763IAPD
Latest filing Aug 17, 2023
First filing on the tape Mar 28, 2023 · 4 filings
RAUM
$22.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$18.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$22.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$22.5M as of Aug 17, 2023
Mar 28, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 17, 2023
Mar 28, 20231 then
Employees (5.A)1 as of Aug 17, 2023
Mar 28, 20231 then
Private funds: no history
Practice profile
derived from the filing of Aug 17, 2023; every figure names its basis
RAUM per advisor
$22.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$441,176derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$2.0M, 7 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
  • Individuals$18.8M83%
  • Pension and profit-sharing plans$3.8M17%
Individual clients
46reported
HNW clients
n/areported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
51reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.0M for 7 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
O•••• P•••Chartered Financial ConsultantCoral Gables, FlMay 30, 202324 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••• O•••• · President, Managing Member, & Chief Compliance Officercontrol
      since 05/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 4 to 5
      Jul 10, 2023 to Aug 17, 2023
    • Accounts · 0 to 51
      May 10, 2023 to Jul 10, 2023
    • Individual clients · unset to 46.0
      May 10, 2023 to Jul 10, 2023
    • Pension plan clients · unset to 5.0
      May 10, 2023 to Jul 10, 2023
    • Assets in custody · unset to 2000000.0
      May 10, 2023 to Jul 10, 2023
    • Custody of client assets · false to true
      May 10, 2023 to Jul 10, 2023
    • Discretionary RAUM · $0 to $22.5M
      May 10, 2023 to Jul 10, 2023
    • Individual RAUM · unset to 18750000.0
      May 10, 2023 to Jul 10, 2023
    • Pension RAUM · unset to 3750000.0
      May 10, 2023 to Jul 10, 2023
    • RAUM · $0 to $22.5M
      May 10, 2023 to Jul 10, 2023
    Signals
    3 dated events
    • N••••••• K••••••• (Chief Compliance Officer) no longer on Schedule A of A••••• W••••• M••••••••• G••••• L•• (listed 2023-03-28, absent 2023-05-10)
      May 10, 2023 · Control person left · inference
    • O•••• P••• (Chief Compliance Officer) appeared on Schedule A of A••••• W••••• M••••••••• G••••• L••
      May 10, 2023 · Control person joined · fact
    • A••••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Mar 28, 2023 · 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
    ascentwealthmanagementgroup.comreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $22.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026