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

DOL Fiduciary Rule Transition Period Extension to 2019 Requested

The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of Applicability for the Department of Labor Fiduciary Rule be extended from January 1, 2018 to July 1, 2019. This court filing included extending the deadlines for the following Prohibited Contract Exemptions: Best Interest Contract Exemption … Continued

SEC Cyber Sweep Highlights Areas In Need of Improvement

The results of the SEC’s second cybersecurity sweep examinations are in, and they paint a picture of an industry that has come to grips with the need to address cybersecurity risk, but where the canvas is incomplete in many respects.

Colorado Joins New York in Mandating Cybersecurity Controls for Financial Institutions

On the heels of the recently adopted New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), Colorado has followed suit with its own set of protections. The Colorado Division of Securities has issued cybersecurity regulations applicable to broker dealers and investment advisers registered with the state, which are codified in Sections 51-4.8 … Continued

Form ADV: What You Need to Know Now to Prepare for October

October 2017 new Form ADV amendments continue the big data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden of answering over 100 separate questions (plus scores more for each private fund) through this … 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.