Hedge Fund Database

ASCENSION CAPITAL ADVISORS, INC.

Adviser information for ASCENSION CAPITAL ADVISORS, INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 4
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 458 $544.3M
Non-Discretionary 35 $16.6M
Total 493 $560.9M

Clients

Type Number RAUM
Individuals 79 $25.5M
HNW Individuals 84 $490.6M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 10 $20.3M
Charitable organizations 3 $18.1M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 3 $6.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 51-100

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-57951
SEC ERA File Number 801-57951
SEC CIK Numbers 1689227
SEC CRD Numbers 109518
Legal Entity Identifier None

Principal Office

4900 WOODWAY DRIVE
SUITE 1150
HOUSTON
TX
United States
Monday - Friday, 8:00-5:30
Tel: 713-952-6900, Fax: 713-334-8023

Websites

www.ascensioncapital.com/ www.linkedin.com/groups/4052143

Chief Compliance Officer

PAUL B THOMPSON, JR.
MANAGING DIRECTOR
4900 WOODWAY DRIVE
SUITE 1150
HOUSTON
TX
United States
Tel: 713-952-6900
Fax: 713-334-8023
(Full email address available in API data)

Regulatory Contact

PAUL B THOMPSON
PRESIDENT & CEO
4900 WOODWAY DRIVE
SUITE 1150
HOUSTON
TX
United States
Tel: 713-952-6900
Fax: 713-334-8023
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
THOMPSON, PAUL, BUNDY Individual – PRESIDENT & CEO 04/1998 > 75%
THOMPSON, PAUL, BUNDY Individual – CHIEF COMPLIANCE OFFICER 01/2016 10-25%

No. Employees, Historic

105020192020202120222023202420257 on 4/2/20197 on 3/31/20207 on 6/30/20207 on 10/30/20207 on 3/31/20217 on 8/10/20218 on 3/31/20228 on 11/22/20228 on 3/27/20238 on 5/3/20238 on 6/14/20238 on 3/27/2024

RAUM, Historic

800M400M02019202020212022202320242025297130167 on 4/2/2019352068757 on 3/31/2020352068757 on 6/30/2020352068757 on 10/30/2020410184127 on 3/31/2021410184127 on 8/10/2021715620709 on 3/31/2022715620709 on 11/22/2022511133591 on 3/27/2023511133591 on 5/3/2023511133591 on 6/14/2023560855383 on 3/27/2024

No. Clients, Historic

20010002019202020212022202320242025183 on 4/2/2019194 on 3/31/2020194 on 6/30/2020194 on 10/30/2020179 on 3/31/2021179 on 8/10/2021182 on 3/31/2022182 on 11/22/2022176 on 3/27/2023176 on 5/3/2023176 on 6/14/2023179 on 3/27/2024

Holdings

From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMGEN INC COM 250K 800 –
APPLE INC COM 1M 7K –
ARK ETF TR INNOVATION ETF 12M 270K –
COLLABORATIVE INVESTMNT SER RAREVIEW SYS EQT 676K 23K –
EOG RES INC COM 377K 3K –
EXXON MOBIL CORP COM 5M 43K –
FEDERATED HERMES ETF TRUST US STRATEGIC DIV 25M 991K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 2M 27K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 27M 488K –
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 2M 21K –
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 4M 75K –
HARBOR ETF TRUST INTERNATNAL COMP 417K 15K –
INVESCO QQQ TR UNIT SER 1 11M 23K –
ISHARES TR EAFE VALUE ETF 892K 17K –
ISHARES TR MSCI EMG MKT ETF 540K 13K –
ISHARES TR RESIDENTIAL MULT 6M 75K –
ISHARES TR S&P 500 GRWT ETF 11M 119K –
ISHARES TR S&P MC 400GR ETF 10M 111K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 624K 11K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 9M 173K –
JPMORGAN CHASE & CO. COM 276K 1K –
MICROSOFT CORP COM 2M 5K –
PIMCO ETF TR ENHAN SHRT MA AC 675K 7K –
SCHWAB STRATEGIC TR INTL EQTY ETF 7M 177K –
SCHWAB STRATEGIC TR US LCAP GR ETF 254K 3K –
SCHWAB STRATEGIC TR US LRG CAP ETF 24M 370K –
SCHWAB STRATEGIC TR US MID-CAP ETF 258K 3K –
SCHWAB STRATEGIC TR US REIT ETF 250K 12K –
SCHWAB STRATEGIC TR US SML CAP ETF 13M 276K –
SPDR S&P 500 ETF TR TR UNIT 12M 22K –
VANECK ETF TRUST MRNGSTR WDE MOAT 933K 11K –