ASCENDANT FINANCIAL SOLUTIONS, INC.
Adviser information for ASCENDANT FINANCIAL SOLUTIONS, INC. last updated from Form ADV on February 26th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 618 | $295.0M |
| Non-Discretionary | 0 | $0 |
| Total | 618 | $295.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 187 | $77.5M |
| HNW Individuals | 134 | $208.0M |
| 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 | 6 | $6.2M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $3.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed feesFIXED FEES ARE ONLY CHARGED FOR FINANCIAL PLANNING ARRANGEMENTS. |
Principal Office
809 W. RIORDANSUITE 104
FLAGSTAFF
AZ
United States
Monday - Friday, 7:00 AM TO 4:00 PM
Tel: 928-774-9598, Fax: 928-774-1203
Chief Compliance Officer
JAMES D. HOYT
PRESIDENT
809 W. RIORDAN
SUITE 104
FLAGSTAFF
AZ
United States
Tel:
928-774-9598
Fax:
928-774-1203
J*@**********************M
(Full email address available in API data)
Regulatory Contact
TAMARA KINNEY
COMPLIANCE MANAGER
809 W. RIORDAN
SUITE 104
FLAGSTAFF
AZ
United States
Tel:
928-774-9598
Fax:
928-774-1203
T*****@**********************M
(Full email address available in API data)
Industry Affiliates
| HEFFERNAN INSURANCE BROKERS | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOYT, JAMES, DOUGLASS | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 11/1996 | < 5% |
| HEFFERNAN INSURANCE BROKERS | Domestic Entity | – | SHAREHOLDER | 05/2023 | > 75% |
| HEFFERNAN, FRANCIS, MICHAEL | Individual | – | CHAIRMAN OF THE BOARD | 05/2023 | < 5% |
| THIBAULT, BLAKE, ALEXANDER | Individual | – | DIRECTOR | 05/2023 | < 5% |
| HEFFERNAN, FRANCIS, MICHAEL | Individual | HEFFERNAN INSURANCE BROKERS | CHIEF EXECUTIVE OFFICER | 09/1988 | 25-50% |