Hedge Fund Database

FIRST ASCENT ASSET MANAGEMENT, LLC

Adviser information for FIRST ASCENT ASSET MANAGEMENT, LLC last updated from Form ADV on April 24th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 12
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 4,195 $1.1B
Non-Discretionary 702 $252.4M
Total 4,897 $1.4B

Clients

Type Number RAUM
Individuals 1,514 $121.6M
HNW Individuals 3,129 $1.1B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 18 $15.7M
Charitable organizations <5 $5.2M
State or municipal gov entities 0 $0
Other investment advisers 206 $111.9M
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 26 $30.6M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshopsSUB-ADVISORY SERVICES
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-113358
SEC ERA File Number 801-113358
SEC CIK Numbers 1805758
SEC CRD Numbers 281470
Legal Entity Identifier None

Principal Office

1401 LAWRENCE ST.
#1600
DENVER
CO
United States
Monday - Friday, 8:00 - 5:00
Tel: 720-465-7888, Fax: 303-547-1530

Websites

www.firstascentam.com www.linkedin.com/company/first-ascent-asset-management/ www.facebook.com/firstascentam/ www.youtube.com twitter.com/firstascentam

Chief Compliance Officer

KAREN L GARCIA
CHIEF OPERATING OFFICER
1401 LAWRENCE ST.
#1600
DENVER
CO
United States
Tel: 720-465-7910
Fax: 303-547-1530
(Full email address available in API data)

Regulatory Contact

SCOTT MACKILLOP
CEO
1401 LAWRENCE ST.
#1600
DENVER
CO
United States
Tel: 720-465-7888
Fax: 303-547-1530
(Full email address available in API data)

Industry Affiliates

GEOWEALTH MANAGEMENT LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MACKILLOP, SCOTT, ANDREW Individual – CHIEF EXECUTIVE OFFICER 03/2023 < 5%
GARCIA, KAREN, LOUISE Individual – CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 03/2023 < 5%
KRULIK, PATRICK, JAMES Individual – CHIEF INVESTMENT OFFICER 03/2023 < 5%
GEOWEALTH LLC Domestic Entity – OWNER 03/2023 > 75%
GEOWEALTH ENTERPRISES, LLC Domestic Entity GEOWEALTH LLC MEMBER 03/2018 > 75%
GEOWEALTH HOLDINGS, LLC Domestic Entity GEOWEALTH LLC MEMBER 12/2004 > 75%
L.G. O'SHAUGHNESSY TRUST, FBO GERALD E. O'SHAUGHNESSY Domestic Entity GEOWEALTH LLC SHAREHOLDER 07/2000 25-50%
THE GLOBE RESOURCES GROUP INC. Domestic Entity GEOWEALTH LLC MEMBER 12/2004 > 75%
MONTREAUX, INC Domestic Entity GEOWEALTH LLC SHAREHOLDER 07/2000 > 75%
PHOENIX CAPITAL GROUP, INC. Domestic Entity GEOWEALTH LLC SHAREHOLDER 07/2000 > 75%
I.A. O'SHAUGHNESSY TRUST, FBO GERALD E. O'SHAUGHNESSY Domestic Entity GEOWEALTH LLC SHAREHOLDER 07/2000 25-50%

No. Employees, Historic

201002019202020212022202320248 on 7/15/20198 on 7/29/20198 on 10/22/20198 on 11/13/20198 on 11/13/20198 on 2/25/20208 on 2/25/20208 on 6/23/20208 on 2/25/20218 on 6/22/20218 on 9/15/20218 on 12/24/20219 on 3/17/20229 on 8/12/202212 on 3/21/202312 on 4/24/2023

RAUM, Historic

2B1B0201920202021202220232024152118885 on 7/15/2019152118885 on 7/29/2019152118885 on 10/22/2019362869416 on 11/13/2019362869416 on 11/13/2019390350403 on 2/25/2020390350403 on 2/25/2020390350403 on 6/23/2020934992621 on 2/25/2021934992621 on 6/22/2021934992621 on 9/15/2021934992621 on 12/24/20211401674976 on 3/17/20221401674976 on 8/12/20221367980200 on 3/21/20231367980200 on 4/24/2023

No. Clients, Historic

5,0002,5000201920202021202220232024817 on 7/15/2019817 on 7/29/2019817 on 10/22/20191501 on 11/13/20191501 on 11/13/20191616 on 2/25/20201616 on 2/25/20201616 on 6/23/20203224 on 2/25/20213224 on 6/22/20213224 on 9/15/20213224 on 12/24/20214532 on 3/17/20224532 on 8/12/20224893 on 3/21/20234893 on 4/24/2023

Holdings

From latest 13F, filed February 5th, 2024 for period ending December 31st, 2023
Name Class Value $USD # Shares Private Fund
ABRDN GOLD ETF TRUST PHYSCL GOLD SHS 496K 25K 0
AMERICAN CENTY ETF TR REAL ESTATE ETF 1M 35K 0
AMERICAN CENTY ETF TR INTL SMCP VLU 7M 107K 0
AMERICAN CENTY ETF TR AVANTIS EMGMKT 4M 71K 0
DIMENSIONAL ETF TRUST US CORE EQUITY 2 80M 3M 0
DIMENSIONAL ETF TRUST WORLD EX US CORE 36M 1M 0
DIMENSIONAL ETF TRUST NATL MUN BD ETF 44M 901K 0
DIMENSIONAL ETF TRUST CORE FIXED INCOM 4M 104K 0
DIMENSIONAL ETF TRUST INTL CORE EQUITY 17M 653K 0
GOLDMAN SACHS ETF TR ACTIVEBETA EME 4M 131K 0
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 18M 195K 0
GOLDMAN SACHS ETF TR ACCESS US AGRAT 4M 105K 0
GOLDMAN SACHS ETF TR ACTIVEBETA INT 8M 253K 0
ISHARES INC CORE MSCI EMKT 2M 48K 0
ISHARES INC ESG AWR MSCI EM 3M 96K 0
ISHARES TR CONSER ALLOC ETF 311K 9K 0
ISHARES TR GRWT ALLOCAT ETF 3M 58K 0
ISHARES TR CORE INTL AGGR 19M 386K 0
ISHARES TR CORE TOTAL USD 64M 1M 0
ISHARES TR US SML CAP EQT 6M 95K 0
ISHARES TR ESG AW MSCI EAFE 8M 110K 0
ISHARES TR ESG MSCI LEADR 14M 170K 0
ISHARES TR CORE MSCI TOTAL 8M 124K 0
ISHARES TR ESG ADV TTL USD 4M 100K 0
ISHARES TR RUS MDCP VAL ETF 2M 15K 0
ISHARES TR CORE S&P TTL STK 6M 53K 0
ISHARES TR AGGRES ALLOC ETF 5M 79K 0
ISHARES TR CORE S&P MCP ETF 1M 5K 0
ISHARES TR GLOBAL REIT ETF 304K 13K 0
ISHARES TR MODERT ALLOC ETF 468K 11K 0
J P MORGAN EXCHANGE TRADED F SHORT DURA CORE 1M 25K 0
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 787K 16K 0
J P MORGAN EXCHANGE TRADED F SUSTAINABLE MUNI 4M 85K 0
JANUS DETROIT STR TR HENDRSON AAA CL 287K 6K 0
NUSHARES ETF TR NUVEEN ESG SMLCP 3M 83K 0
SPDR INDEX SHS FDS PORTFOLIO EMG MK 20M 572K 0
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 61M 2M 0
SPDR SER TR PORTFOLIO SHORT 1M 39K 0
SPDR SER TR BLOOMBERG 1-3 MO 645K 7K 0
SPDR SER TR PRTFLO S&P500 VL 6M 132K 0
SPDR SER TR PRTFLO S&P500 GW 5M 75K 0
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 27M 539K 0
VANGUARD INDEX FDS SM CP VAL ETF 9M 49K 0
VANGUARD INDEX FDS EXTEND MKT ETF 23M 141K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 114M 261K 0
VANGUARD INDEX FDS TOTAL STK MKT 89M 375K 0
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 7M 65K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 1M 30K 0
VANGUARD MALVERN FDS STRM INFPROIDX 294K 6K 0
VANGUARD MUN BD FDS TAX EXEMPT BD 80M 2M 0
VANGUARD SCOTTSDALE FDS LONG TERM TREAS 495K 8K 0
VANGUARD STAR FDS VG TL INTL STK F 60M 1M 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 1M 29K 0