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

OCIE Examined 15% of RIAs in 2017

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed in its Fiscal Year 2019 Congressional Budget Justification Annual Performance Plan. In the same report, the SEC said the staff will continue to improve its efforts of RIAs, noting that nearly 35 percent of all … Continued

Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls

A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge fund managers when using hypothetical performance or model data in marketing efforts, and how managers relying on such data can avoid enforcement actions. Adam DiPaolo, Senior Consultant in Ascendant’s Private Funds group, is quoted in the … Continued

SEC’s Exam Priorities Offer Insight Into National Exam Program

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s summary here). In addition to defining their examination priorities for the year, the OCIE staff offered some insight into the National Exam Program.  Specifically, they defined the following five principles in executing their exam priorities: … Continued

SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules

SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and hold themselves to high standards. Speaking via videoconference during Securities Regulation Institute’s recent annual conference, he said, “To be blunt, from what I have seen recently, particularly in the initial coin offering (“ICO”) space, they … 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.