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

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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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.