Ashton R. Niemann

ADAPTATION FINANCIAL ADVISORS

Houston, TX 77098

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CRD#: 7609475

Professional summary

Ashton Riley Niemann is a registered financial advisor currently at ADAPTATION FINANCIAL ADVISORS INC. located in Houston, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Houston, Texas.

Ashton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Ashton has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

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.

1) ADAPTATION FINANCIAL, Oklahoma City OK 73114, 11/2022, Employee and Investment Advisory Representative, 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 20 HR/MO - 20 HR/MO TRADING. 3) MDK FINANCIAL GROUP, HOUSTON, TX, 02/2023, INVESTMENT ADVISORY REPRESENTATIVE, 4) MDK FINANCIAL, 1912 Barnard, Houston TX, 03/2023, As Advisory Rep of a RIA, INV REL, 20 HR/MO, 20 HR/MO Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashton Riley Niemann'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

February 24, 2023 - Present

ADAPTATION FINANCIAL ADVISORS INC.

Office #1: 1912 Branard St, Houston, TX 77098

RIA

CRD#: 309192

Houston, TX

Current

November 26, 2022 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 1912 Branard St., Houston, TX 77098Office #2: 700 Cedar Lake Blvd., Oklahoma City, OK 73114

CRD#: 39543

Houston, TX

Past

March 9, 2023 - July 31, 2023

MDK FINANCIAL GROUP, INC.

RIA

CRD#: 316876

HOUSTON, TX

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".

ADAPTATION FINANCIAL ADVISORS INC.

ADAPTATION FINANCIAL | ADAPTATION FINANCIAL ADVISORS INC.

CRD#: 309192 / SEC#: 801-118982

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Oklahoma
(2/23/2023)

IAR

Oklahoma
(2/24/2023)

IAR

Texas
(2/24/2023)

Texas
(3/27/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/21/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/26/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/10/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ADAPTATION FINANCIAL ADVISORS INC.

ADAPTATION FINANCIAL | ADAPTATION FINANCIAL ADVISORS INC.

CRD#: 309192 / SEC#: 801-118982

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

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Contact information

Main Address

700 Cedar Lake Blvd, Oklahoma City, OK 73114

Mailing Address

Phone number

(972) 774-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADAPTATION WRAP BROCHURE-MARCH 2025 (3/31/2025)

ADAPTATION FINANCIAL- ADV2A BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	674
AUM (Assets Under Management)	$ 217,147,998

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.

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Ashton R. Niemann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashton Riley Niemann's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADAPTATION FINANCIAL ADVISORS INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MDK FINANCIAL GROUP, INC.

Primary Firm SEC Registration

ADAPTATION FINANCIAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2023

Series 7TO

Date: 11/26/2022

SIE

Date: 8/10/2022

FINRA

Current Firm

ADAPTATION FINANCIAL ADVISORS INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADAPTATION FINANCIAL ADVISORS INC.

TRUST BUT VERIFY

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