{"url":"https://nivawealth.com/firms/ascendor-wealth-148969","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/148969","regulatoryAum":145590518,"crd":"148969","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5887012","suffix":null,"lastName":"CARTER","firstName":"KEITH","middleName":"LYMAN"},{"crd":"5653741","suffix":"MR.","lastName":"DEMBOWIAK","firstName":"BRANDON","middleName":"THOMAS"},{"crd":"5931241","suffix":null,"lastName":"GOINGS","firstName":"CHARLES","middleName":"NATHAN"},{"crd":"8194931","suffix":null,"lastName":"Graves","firstName":"Jared","middleName":"Kincaid"},{"crd":"5395117","suffix":null,"lastName":"GRAVES","firstName":"RICKY","middleName":null},{"crd":"6317586","suffix":null,"lastName":"MAY","firstName":"KEVIN","middleName":"TODD"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-06-05","regulatoryAum":116824613,"clients":124,"employees":5,"offices":3},{"filedOn":"2026-07-03","regulatoryAum":145590518,"clients":140,"employees":6,"offices":3}],"secFileNumber":"801-133828","legalName":"Ascendor 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2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050740","versionId":1050740,"submittedOn":"2026-07-03"}]},"custodians":[{"name":"SEI Investments Distribution Co.","shortName":"SEI Investments Distribution","location":"Oaks, PA","smaAssets":141312902}],"custodyNote":"Ascendor Wealth has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brandon Dembowiak","title":"Manager, Chief Compliance Officer","crd":"5653741"}],"ownership":[{"label":"Lord and Graves, Inc.","detail":"50% owner in the 50% to 75% ownership band and a control person, since December 2019."},{"label":"Dembo Management, Inc.","detail":"Owner in the 25% to 50% ownership band and a control person, since December 2020."},{"label":"Ricky Graves","detail":"Indirect owner: a owner of Lord and Graves, Inc. in the 75% or more band and a control person, since December 2019.","parent":"Lord and Graves, Inc."},{"label":"Brandon Dembowiak","detail":"Indirect owner: a owner of Dembo Management, Inc. in the 75% or more band and a control person, since December 2020.","parent":"Dembo Management, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":3,"addresses":[{"street":"5700 Oleander Drive","city":"Wilmington","headquarters":true},{"street":"8006 Linville Road","city":"Oak Ridge"},{"street":"300 Judd Place Drive","city":"Fuqua-Varina"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"910-790-0122","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":5},{"label":"Investment grade corporate bonds","percent":8},{"label":"Securities issued by registered investment companies or business development companies","percent":63},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"3 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/148969/PDF/148969.pdf","brochureDate":"3 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050740","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ascendor Wealth have?","answer":"Ascendor Wealth has 140 clients and manages $146 million for them, as of July 2026. They include 101 individual clients, 34 high-net-worth individuals, and 5 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ascendor Wealth offer?","answer":"Ascendor Wealth provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Ascendor Wealth use?","answer":"Ascendor Wealth’s separately managed account assets are held at SEI Investments Distribution Co. (Oaks, PA), with $141M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ascendor Wealth have?","answer":"Ascendor Wealth has 6 investment adviser representatives registered with state securities authorities, out of 6 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Ascendor Wealth invest in?","answer":"At the end of its last fiscal year, Ascendor Wealth’s separately managed accounts held 63% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities, 8% investment grade corporate bonds, 5% state and local bonds, 5% cash and equivalents and 4% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Ascendor Wealth?","answer":"Ascendor Wealth is owned through holding companies by Ricky Graves and Brandon Dembowiak. Its direct owners are Lord and Graves, Inc. (50% to 75%) and Dembo Management, Inc. (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 3 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ascendor Wealth get paid?","answer":"Ascendor Wealth is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Ascendor Wealth?","answer":"Ascendor Wealth’s main office is at 5700 Oleander Drive, Wilmington, NC 28403. Its phone number is 910-790-0122. Its website is ascendorwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}