Our Clients

Our exclusive focus on asset management and securities industries means that our experience and expertise is always relevant to your business and is fundamental to our success in delivering excellence in all aspects of our service.

Our client profile:

  • Asset managers and broker dealers located in the US, the UK and Ireland;
  • Retail advisers, institutional, hedge fund and private equity managers, including five of the largest fund managers in the US; and
  • Firms with assets under management typically ranging from under $200 million to over $80 billion.

Additionally our conference events have included attendees with over $175 trillion under management.

What Our Clients Say

“We were thrilled; you simplified the complex regulatory environment and gave us business solutions that made sense.”

“As we prepared to register with the SEC, we realized how naive we were to the 1940 Act and all of the ramifications it would have for our private equity business. Ascendant, you saved us!”

“Planning for the transition to SEC registration was a big worry.  You provided exactly what we were looking for.”

“Taking complex, confusing regulations and translating them into plain English for our broker dealer was the best thing that happened to us in years.”

Latest Content

How Do You Supervise for SEC Pay-to-Play Violations?

If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it, three recent Settlement Orders against large investment advisers for “over de minimis” political contributions provide some insight regarding one of the prohibitions: Contributions by Covered Associates to certain Government Officials over the specified Exception amount (capitalized words are terms in the … Continued

Do your Fund Documents Clearly Disclose Receipt of Accelerated Monitoring Fees?

Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on charges that they failed to make pre-commitment disclosures in fund governing documents related to accelerated fees received from portfolio companies. Interestingly, according to the Settlement Order, the advisers had made some disclosures in fund documents … Continued

With New Risk Alert, SEC Doubles Down on Best Execution

On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by investment advisers. Advisers have an obligation to seek best execution of client transactions, taking into consideration quantitative factors such as execution quality and commission rate, as well as more qualitative factors such as the value … Continued

The Cost of Compliance: Understanding and Leveraging Resources

For compliance officers, obtaining the necessary tools and resources to build an effective compliance program can be costly and difficult to implement. How do you distinguish the best in class, the most cost-efficient and effective for use in your program? In this ComplianceCast, speakers David Porteous of Faegre Baker Daniels and Korrine Kohm of Ascendant … Continued

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Contact Us

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.