ASCENT FUNDS MANAGEMENT LLC
Adviser information for ASCENT FUNDS MANAGEMENT LLC last updated from Form ADV on March 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
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 | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-128691 |
|---|---|
| SEC ERA File Number | 802-128691 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327567 |
| Legal Entity Identifier | None |
Principal Office
788 NE 23RD STREET#5401
MIAMI
FL
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 646-491-2319, Fax: None
Chief Compliance Officer
NoneIndustry Affiliates
| ASCENT ENERGY INNOVATION CAPITAL LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ASCENT FUNDS CAPITAL LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ASCENT FUNDS GLOBAL CAPITAL LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ASCENT FUNDS INTERNATIONAL CAPITAL LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ASCENT ENERGY INNOVATION SPV I LP | Private Equity Fund | $4.8M | $0.0M | 10 |
| ASCENT FUNDS GLOBAL SPV I LP | Private Equity Fund | $11.0M | $0.0M | 32 |
| ASCENT FUNDS INTERNATIONAL SPV I LP | Private Equity Fund | $12.0M | $0.0M | 15 |
| ASCENT FUNDS INTERNATIONAL SPV II LP | Private Equity Fund | $8.3M | $0.0M | 21 |
| THE ASCENT OIL FUND, LLC | Hedge Fund | $35.0M | $1.0M | 6 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Gordon, Mark, R | Individual | – | MANAGER AND MEMBER OF ASCENT FUNDS MANAGEMENT LLC | 06/2020 | 25-50% |
| Gordon, Mark, R | Individual | – | MANAGER AND MEMBER OF ASCENT FUNDS INTERNATIONAL CAPITAL LLC | 07/2022 | 25-50% |
| Gordon, Mark, R | Individual | – | MANAGER AND MEMBER OF ASCENT FUNDS GLOBAL CAPITAL LLC | 04/2021 | 25-50% |
| INCEPTO LIMITED | Foreign Entity | – | MEMBER OF ASCENT FUNDS CAPITAL LLC | 08/2020 | 25-50% |
| INCEPTO LIMITED | Foreign Entity | – | MEMBER OF ASCENT FUNDS MANAGEMENT LLC | 08/2020 | 25-50% |
| INCEPTO LIMITED | Foreign Entity | – | MEMBER OF ASCENT FUNDS INTERNATIONAL CAPITAL LLC | 07/2022 | 25-50% |
| INCEPTO LIMITED | Foreign Entity | – | MEMBER OF ASCENT FUNDS GLOBAL CAPITAL LLC | 04/2021 | 25-50% |
| THE JOHN L. VOGELSTEIN REVOCABLE TRUST | Domestic Entity | – | MEMBER OF ASCENT FUNDS GLOBAL CAPITAL LLC | 04/2021 | 5-10% |
| THE JOHN L. VOGELSTEIN REVOCABLE TRUST | Domestic Entity | – | MEMBER OF ASCENT FUNDS MANAGEMENT LLC | 08/2020 | 5-10% |
| THE JOHN L. VOGELSTEIN REVOCABLE TRUST | Domestic Entity | – | MEMBER OF ASCENT FUNDS CAPITAL LLC | 08/2020 | 5-10% |
| VOGELSTEIN, JOHN, LUDWIG | Individual | – | TRUSTEE OF THE JOHN L. VOGELSTEIN REVOCABLE TRUST | 02/1996 | > 75% |
| Wu, David | Individual | INCEPTO LIMITED | DIRECTOR | 01/2014 | > 75% |
| Gordon, Mark, R | Individual | – | MANAGER AND MEMBER OF ASCENT FUNDS CAPITAL LLC | 06/2020 | 25-50% |
| VOGELSTEIN, JOHN, LUDWIG | Individual | THE JOHN L. VOGELSTEIN REVOCABLE TRUST | TRUSTEE | 02/1996 | |
| Gordon, Mark, R | Individual | – | MANAGER AND MEMBER OF ASCENT ENERGY INNOVATION CAPITAL LLC | 07/2023 | 25-50% |
| INCEPTO LIMITED | Domestic Entity | – | MEMBER OF ASCENT ENERGY INNOVATION CAPITAL LLC | 07/2023 | 25-50% |