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ASCEND FINANCIAL CONSULTANTS, INC.
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ASCEND FINANCIAL CONSULTANTS, INC.
(CRD# 289183)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Pasadena, CA.
The SEC approved the firm to operate as an RIA in
Nov 2017.
In
Sep 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$97.2 Million,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ASCEND FINANCIAL CONSULTANTS, INC.
also reported in
Sep 2018:
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3
employees,
with
1
performing advisory functions.
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A total of 2 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ASCEND FINANCIAL CONSULTANTS, INC. has no disclosure events reported to the SEC at this time.
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ASCEND FINANCIAL CONSULTANTS, INC. has Notice Filings with the following State Securities Authorities:
CA-Nov 2017, TX-Jul 2018
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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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