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ASCENT ADVISORS

MANKATO, MN · CRD 335353 · IAPD ↗ · 952-444-3100

$110.8MRegulatory AUM
8Advisory reps
9Employees
0Clients
26-50Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
October 2026 — ASCENT ADVISORS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
50
May 2026 — ASCENT ADVISORS notice-filed in CA, FL, IL, NE, TX, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2026 — ASCENT ADVISORS reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
January 2026 — ASCENT ADVISORS (MANKATO, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.