Wealth manager, independent · New Hartford, NY
Ascent Wealth Partners, LLC
SEC-registered investment adviser · CRD 158898 · SEC 801-72693
At a glance
Ascent Wealth Partners, LLC is an SEC-registered investment adviser based in New Hartford, New York, with $1.5B in regulatory assets under management as of its Form ADV filed July 17, 2026. It reports 1,036 individual clients, 258 of them high-net-worth, holding an average of about $1.3 million each, and 17 employees. That ranks it 719th among the nation’s 5,657 independent wealth management RIAs and 55th of 408 in New York. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 315-624-7300ascentwealthpartners.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #719 of 5,657
- Rank among all SEC RIAs
- #4,229 of 17,210
- Rank in New York
- #55 of 408
- Individual clients
- 1,036
- High-net-worth clients
- 258
- Accounts
- 2,359
- Discretionary
- 95% of AUM
- Employees
- 17
- Advisory staff
- 15
- Offices
- 4
Owners and executives on its Form ADV
- Nancy L. KowalczykChief Compliance Officer
- Bradley M. KowalczykPartner
- Martin E. MoshierPartner
- Christopher B. LaiChief Investment Officer
- Joseph D. SummaPartner
- Neil A. EdmondsPartner
Custody and brokerage
Broker-dealer
No broker-dealer ties
Ascent Wealth Partners, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 258 | $981M | 65% |
| Individuals | 778 | $337M | 22% |
| Pension and profit sharing plans | 38 | $131M | 9% |
| Corporations or other businesses | 16 | $47M | 3% |
| Charitable organizations | 6 | $22M | 1% |
Disciplinary disclosures
Ascent Wealth Partners, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗ascentwealthpartners.com ↗
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- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- 6 namedLocked
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Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Consolidated Portfolio Review CorpWoodbury | $1.6B | 6,187 |
| Independent Solutions Wealth Management, LLCWilliamsville | $1.5B | 4,265 |
| Seacrest Wealth Management, LLCPurchase | $1.5B | 1,475 |
| John G. Ullman & Associates, IncHorseheads | $1.5B | 992 |
| Whitney & CompanyRochester | $1.5B | 739 |
| Shade Tree Advisors LLCSaratoga Springs | $1.5B | 31 |
Background
Questions
How much does Ascent Wealth Partners, LLC manage?
Ascent Wealth Partners, LLC reports $1.5B in regulatory assets under management across 2,359 accounts, 95% of it on a discretionary basis, on its Form ADV filed July 17, 2026.
How many clients does Ascent Wealth Partners, LLC have?
It reports 1,036 individual clients: 258 high-net-worth individuals and 778 other individuals. Individuals account for about 87% of its regulatory assets.
Where is Ascent Wealth Partners, LLC headquartered?
Its main office is in New Hartford, New York. It reports 4 offices in total and 17 employees, 15 of whom perform investment advisory functions.
How does Ascent Wealth Partners, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Ascent Wealth Partners, LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed July 17, 2026, it reports these amounts held: Charles Schwab ($1.3B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Ascent Wealth Partners, LLC a hybrid RIA with a broker-dealer?
Ascent Wealth Partners, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Ascent Wealth Partners, LLC a fiduciary?
As an SEC-registered investment adviser, Ascent Wealth Partners, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Ascent Wealth Partners, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →