ASCENSUS INVESTMENT ADVISORS, LLC
Adviser information for ASCENSUS INVESTMENT ADVISORS, LLC last updated from Form ADV on March 27th, 2024. 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 | 47 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 26 |
| Registered State Investment Advisers | 37 |
| 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 | 0 | $0 |
| Non-Discretionary | 10 | $9.9B |
| Total | 10 | $9.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 27 | $9.9B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2894 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPension consulting servicesPORTFOLIO MGMT/OVERSIGHT INCL REVIEW OF ALLOCATIONS & SELECTION OF UNDERLYING SECURITIES FOR QUAL TUITION 529/529A & SFRP PLANS |
|---|---|
| Compensation | % of AUMPERCENTAGE OF PROGRAM MANAGEMENT FEE AND PERCENTAGE OF AUA |
| Other Business Activities | Registered municipal advisor |
Identifiers
| SEC RIA File Number | 801-61492 |
|---|---|
| SEC ERA File Number | 801-61492 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120632 |
| Legal Entity Identifier | None |
Principal Office
95 WELLS AVENUESUITE 160
NEWTON
MA
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 617-454-6400, Fax: 617-559-8943
Chief Compliance Officer
ROBERT B. KAPLAN
CHIEF COMPLIANCE OFFICER
200 DRYDEN ROAD
DRESHER
PA
United States
Tel:
215-648-1272
R************@***********M
(Full email address available in API data)
Regulatory Contact
PEG CREONTE
PRESIDENT
95 WELLS AVENUE
SUITE 160
NEWTON
MA
United States
Tel:
617-454-6400
P**********@***********M
(Full email address available in API data)
Industry Affiliates
| ASCENSUS BROKER DEALER SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ASCENSUS�TRUST�COMPANY | Trust company |
| KROLL SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NEWPORT GROUP CONSULTING, LLC | Other investment adviser, including financial plannersPension consultant |
| NEWPORT GROUP INC. | Insurance company or agency |
| NEWPORT TRUST COMPANY | Trust company |
| NYHART CONSULTING, LLC | Other investment adviser, including financial plannersPension consultant |
| PRIMA CAPITAL ADVISORS | Other investment adviser, including financial planners |
| PROVIDENT TRUST GROUP, LLC | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ASCENSUS GROUP LLC | Domestic Entity | – | 100% SHAREHOLDER | 01/2018 | > 75% |
| CREONTE, MARGARET, BRENNAN | Individual | – | PRESIDENT | 06/2020 | < 5% |
| FOLMER, MICHAEL, ROBERT | Individual | – | TREASURER AND VICE PRESIDENT, TAX & FINANCE | 07/2015 | < 5% |
| ASCENSUS HOLDINGS, INC. | Domestic Entity | ASCENSUS GROUP LLC | 100% OWNER OF ASCENSUS GROUP, LLC | 01/2018 | > 75% |
| KAPLAN, ROBERT, BARRY | Individual | – | CHIEF COMPLIANCE OFFICER AND SECRETARY | 07/2018 | < 5% |
| LOWE, THOMAS | Individual | – | VICE PRESIDENT, INVESTMENT MANAGEMENT | 08/2018 | < 5% |
| MERCURY INTERMEDIATE II, INC. | Domestic Entity | ASCENSUS GROUP HOLDINGS, INC. | 100% OWNER OF ASCENSUS GROUP HOLDINGS, INC. | 08/2021 | > 75% |
| MERCURY INTERMEDIATE I, INC. | Domestic Entity | MERCURY INTERMEDIATE II, INC. | 100% OWNER OF MERCURY INTERMEDIATE II, INC. | 08/2021 | > 75% |
| MERCURY PARENT HOLDINGS, INC. | Domestic Entity | MERCURY INTERMEDIATE I, INC. | 100% OWNER OF MERCURY INTERMEDIATE I, INC. | 08/2021 | > 75% |
| TRIDENT VIII, L.P | Domestic Entity | MERCURY PARENT HOLDINGS, INC. | 29.4% OWNER OF MERCURY PARENT HOLDINGS, INC. | 08/2021 | 25-50% |
| Hewitt, Thomas, Joseph | Individual | – | SENIOR VICE PRESIDENT RELATIONSHIP MANAGEMENT | 05/2023 | < 5% |
| ASCENSUS GROUP HOLDINGS, INC. | Domestic Entity | ASCENSUS HOLDINGS, INC. | 100% OWNER OF ASCENSUS HOLDINGS, INC. | 01/2018 | > 75% |