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ASCEND CAPITAL LLC
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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%
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ASCEND CAPITAL LLC
also reported in
Mar 2018:
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35
employees,
with
22
performing advisory functions.
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A total of 2 office locations.
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Registration with one or more foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ASCEND CAPITAL LLC has no disclosure events reported to the SEC at this time.
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ASCEND CAPITAL LLC has Notice Filings with the following State Securities Authorities:
CA-Jan 2000
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The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org 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 FindingFraud.org with questions or concerns.
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