ASCEND CAPITAL LLC (CRD# 118397) is an SEC-Registered Investment Advisor (RIA), headquartered in Orinda, CA. The SEC approved the firm to operate as an RIA in Jan 2006. In Mar 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $1.5 Billion, and has discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 43% of RAUM.   Non-US investors represent 85% .  
ASCEND CAPITAL LLC also reported in Mar 2018:
  • 35 employees, with 22 performing advisory functions.
  • A total of 2 office locations.
  • Registration with one or more foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ASCEND CAPITAL LLC has no disclosure events reported to the SEC at this time.

View ASCEND CAPITAL LLC's most recent Form ADV filing

ASCEND CAPITAL LLC has Notice Filings with the following State Securities Authorities: CA-Jan 2000

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate. is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact with questions or concerns.