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ASCENDANCE ASSET MANAGEMENT, LLC

NEW YORK, NY · CRD 331610 · IAPD ↗ · 646-206-4119

$0Regulatory AUM
3Advisory reps
5Employees
0Clients
n/aPlanning clients
1Private funds
1States
0Disclosures
fundSegment
120-Day ApprovalSEC status

Filing changes

45
September 2024 — ASCENDANCE ASSET MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
80
July 2024 — ASCENDANCE ASSET MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.