Kory K. Swekla

ASCENSION WEALTH PARTNERS

Pleasant Hill, CA 94523

Some features on this profile are disabled

CRD#: 4518467

Professional summary

Kory Kenneth Swekla is a registered financial advisor currently at ASCENSION WEALTH PARTNERS, LLC located in Pleasant Hill, California.

Kory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Kory has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kory Kenneth Swekla's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 7, 2008 - Present

ASCENSION WEALTH PARTNERS, LLC

Office #1: 391 Taylor Boulevard Suite 125, Pleasant Hill, CA 94523

RIA

CRD#: 146451

Pleasant Hill, CA

Past

April 5, 2005 - March 12, 2008

EQUIUS PARTNERS, INC.

RIA

CRD#: 110450

NOVATO, CA

Past

December 22, 2000 - March 21, 2005

CIBC PRIVATE WEALTH ADVISORS, INC.

RIA

CRD#: 109644

SANFRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASCENSION WEALTH PARTNERS, LLC

CRD#: 146451 / SEC#: 801-120716

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

California

Registered Investment Advisory firm - (5/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/10/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/2000

Uniform Investment Adviser Law Examination

Current Firm

ASCENSION WEALTH PARTNERS, LLC

CRD#: 146451 / SEC#: 801-120716

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

California

Registered Investment Advisory firm - (5/8/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

391 Taylor Boulevard Suite 125, Pleasant Hill, CA 94523

Mailing Address

Phone number

(925) 798-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASCENSION WEALTH PARTNERS, LLC - FORM ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 127,799,212

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

NYLIFE SECURITIES LLC

BRENTWOOD, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kory K. Swekla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kory Kenneth Swekla's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSION WEALTH PARTNERS, LLC

EQUIUS PARTNERS, INC.

CIBC PRIVATE WEALTH ADVISORS, INC.

Primary Firm SEC Registration

ASCENSION WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2000

Current Firm

ASCENSION WEALTH PARTNERS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASCENSION WEALTH PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors