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Contact Ascendant Compliance

Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.

Locations

Main Office Locations
194 Main Street, Salisbury, Connecticut 06068
860-435-2255

546 Fifth Avenue, 18th Floor, New York, NY 10036
212-956-9142

Additional Locations
Chicago, San Francisco, St. Louis, Tampa, Portland (Maine), London

Contact Us

Roger Crain, Partner, Director of Client Services | Connecticut
Phone: 860-435-2255
RCrain@AscendantCompliance.com

Mike Mirantz, Partner, Manager, Client Services | Connecticut
MMirantz@AscendantCompliance.com

Press Inquiries

Melissa Maleri, Director of Marketing
Phone: 860-435-2255
Cell: 203-560-0898
MMaleri@AscendantCompliance.com

For more information about Ascendant Compliance click here.

Latest Content

Past Conference Speaker Inspiration for The Rock’s Next Blockbuster

If you attended Ascendant’s 2016 San Diego conference,  you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff is a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. In San Diego, he spoke about turning challenges into triumphs, and about succeeding in the face of … Continued

Relief at Last – New Guidance on Inadvertent Custody

The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs. In Question II.11 and II.12, the SEC stated that it would not recommend enforcement against an adviser that does not have a copy of a client’s custodial agreement, and does not know or have reason … Continued

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