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.

Advisor moves

Departures from The Ascent Group, LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Kristopher Donald ThompsonThe Ascent Group, LLC independent RIAModera Wealth Management, LLC independent RIARIA to RIAApr 2, 2026Apr 13, 2026
Joseph Salvatore PantozziThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023Nov 1, 2021
John Alan PelhamThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023Mar 31, 2023
Jeffrey Dean AllenThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023Mar 31, 2023
Justin Randall CraftThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023Feb 24, 2023
Jonathan Craig WalkerThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023Feb 27, 2023
Chad David MoseleyThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023Mar 31, 2023
Valerie Kim LaroqueThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023May 4, 2023
James Brad LoweThe Ascent Group, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2023Mar 31, 2023
John Butler BlalockThe Ascent Group, LLC independent RIABlalock Williams, LLC independent RIARIA to RIAMay 1, 2023Mar 9, 2023
Devereaux Lee WilliamsThe Ascent Group, LLC independent RIABlalock Williams, LLC independent RIARIA to RIAMay 1, 2023Mar 9, 2023
John Michael GamboneThe Ascent Group, LLC independent RIAVital Capital LLC state registeredRIA to a state-registered adviserAug 19, 2022Oct 24, 2022 (66 d)
David Randall GutteryThe Ascent Group, LLC no RAUMAmeritas Advisory Services, LLC BD affiliatedOtherAug 6, 2021Nov 1, 2021 (87 d)
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13 moves match.