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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

ASCEND CAPITAL LIMITED PARTNERSHIP

CRD 290195

ORINDA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ff6ed18-c951-b719-5ff1-94e34a4eb0e7

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Nov 9, 2017 to Mar 28, 2018
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.2BItem 5.F on the latest filing (2018-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 10
Individual clients: 0
High net worth clients: 0
Private funds: 5Schedule D 7.B(1)
Private fund GAV: $1.3Bgross asset value as reported per fund; never fund size
Custody, client assets: $1.1B
SEC number: 801-112141
CRD: 290195
Filings on the tape: 3
First filed: Nov 9, 2017
Latest filed: Mar 28, 2018
Organised: Limited Partnership, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ASCEND PARTNERS FUND LP	Hedge Fund	$505M	Mar 28, 2018	16	Mar 30, 2012	reported	021-64892
ASCEND WILSON FUND LP	Hedge Fund	$380M	Mar 28, 2018	2	Mar 30, 2012	reported	021-167592
ASCEND CN FUND LP	Hedge Fund	$204M	Mar 28, 2018	2	Mar 17, 2014	reported	021-209795
ASCEND PARTNERS FUND, LTD.	Hedge Fund	$202M	Mar 28, 2018	16	Mar 30, 2012	reported	021-64895
ASCEND PARTNERS FUND I LP	Hedge Fund	$9.9M	Nov 9, 2017	8	Mar 30, 2012	reported	021-42403
ASCEND AC FUND LP	Hedge Fund	$4.4M	Nov 9, 2017	2	Feb 4, 2015	reported	021-230011
ASCEND LEGEND MASTER FUND, LTD.	Hedge Fund	$25,450	Mar 28, 2018	1	Mar 24, 2017	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FAIRBAIRN, MALCOLM, PAUL	MANAGING MEMBER (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER)	E	yes	04/1999	Nov 9, 2017	Mar 28, 2018
SHENOY, RAMONA, ARVIND	DIRECTOR OF OPERATIONS (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER) AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2011	Nov 9, 2017	Mar 28, 2018
SLAVET, BENJAMIN, DAVID	CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER)	Na	yes	09/2001	Nov 9, 2017	Mar 28, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ASCEND CAPITAL LLC	n/a	Former SEC adviser	$1.5B	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	23	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 23, 2018	$2.2B	$2.2B	0	0	1	5	$1.3B

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$2.2B	n/a	n/a	n/a	n/a	0	n/a	1	n/a

Relationships

Affiliated with (2)

→ ASCEND CAPITAL LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
← ASCEND CAPITAL LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV

Advises (7)

→ ASCEND LEGEND MASTER FUND, LTD.Private fundHedge Fund, IA
Mar 24, 2017 to presentfactForm ADV
→ ASCEND PARTNERS FUND, LTD.Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ASCEND PARTNERS FUND LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ASCEND CN FUND LPPrivate fundHedge Fund, IA
Mar 17, 2014 to presentfactForm ADV
→ ASCEND WILSON FUND LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ASCEND PARTNERS FUND I LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ASCEND AC FUND LPPrivate fundHedge Fund, IA
Feb 4, 2015 to presentfactForm ADV

Controls (3)

← FAIRBAIRN, MALCOLM, PAULOwnerMANAGING MEMBER (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER), ownership code E, individual
Nov 9, 2017 to presentfactForm ADV
← SLAVET, BENJAMIN, DAVIDOwnerCHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER), ownership code NA, individual
Nov 9, 2017 to presentfactForm ADV
← SHENOY, RAMONA, ARVINDOwnerDIRECTOR OF OPERATIONS (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER) AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 9, 2017 to presentfactForm ADV

Dated events

Occurred
Nov 9, 2017
First Form ADV filing
Ascend Capital Limited Partnership filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ff6ed18-c951-b719-5ff1-94e34a4eb0e7
First observed: Nov 9, 2017
Last observed: Mar 28, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ASCEND CAPITAL LIMITED PARTNERSHIP

CRD 290195

ORINDA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ff6ed18-c951-b719-5ff1-94e34a4eb0e7

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ASCEND PARTNERS FUND LP

Hedge Fund

$505M

Mar 28, 2018

Mar 30, 2012

reported

021-64892

ASCEND WILSON FUND LP

Hedge Fund

$380M

Mar 28, 2018

Mar 30, 2012

reported

021-167592

ASCEND CN FUND LP

Hedge Fund

$204M

Mar 28, 2018

Mar 17, 2014

reported

021-209795

ASCEND PARTNERS FUND, LTD.

Hedge Fund

$202M

Mar 28, 2018

Mar 30, 2012

reported

021-64895

ASCEND PARTNERS FUND I LP

Hedge Fund

$9.9M

Nov 9, 2017

Mar 30, 2012

reported

021-42403

ASCEND AC FUND LP

Hedge Fund

$4.4M

Nov 9, 2017

Feb 4, 2015

reported

021-230011

ASCEND LEGEND MASTER FUND, LTD.

Hedge Fund

$25,450

Mar 28, 2018

Mar 24, 2017

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FAIRBAIRN, MALCOLM, PAUL

MANAGING MEMBER (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER)

yes

04/1999

Nov 9, 2017

Mar 28, 2018

SHENOY, RAMONA, ARVIND

DIRECTOR OF OPERATIONS (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER) AND CHIEF COMPLIANCE OFFICER

yes

01/2011

Nov 9, 2017

Mar 28, 2018

SLAVET, BENJAMIN, DAVID

CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER (OF ASCEND CAPITAL, LLC, THE GENERAL PARTNER)

yes

09/2001

Nov 9, 2017

Mar 28, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ASCEND CAPITAL LLC

n/a

Former SEC adviser

$1.5B

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 23, 2018

$2.2B

$1.3B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$2.2B

n/a