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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ASCENT INVESTMENT ADVISORS, LLC

CRD 147277

GREENWOOD VILLAGE, CO

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:bce91d8f-9a20-1426-a4ce-7d5bba9d2d1b

Data as of Aug 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2012 to Aug 29, 2017
20 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: $6.5MItem 5.F on the latest filing (2017-08-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.5M
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: 4
Advisory employees: 1
Accounts: 1
SEC number: 801-69196
CRD: 147277
Filings on the tape: 20
First filed: Apr 9, 2012
Latest filed: Aug 29, 2017
Organised: Limited Liability Company, Colorado

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
ANTH, ELIZABETH	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	Na	yes	05/2017	Jun 8, 2017	Aug 29, 2017
ASCENT INVESTMENT PARTNERS, LLC	MANAGING MEMBER	E	yes	03/2011	Apr 9, 2012	Aug 29, 2017
GREENE, KEVIN, ROBERT	MANAGING MEMBER	C	yes	02/2006	Apr 9, 2012	Aug 29, 2017
JAMES ALPHA MANAGEMENT	Manager	D	yes	03/2011	Apr 9, 2012	Aug 29, 2017
NAYDEN, DENIS, JAMES	Member	C	yes	02/2006	Apr 9, 2012	Aug 29, 2017
VITALIE, JAMES, SAMUEL	MANAGING MEMBER AND PRESIDENT	Na	yes	05/2016	May 5, 2016	Aug 29, 2017

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
JAMES ALPHA MANAGEMENT, LLC	n/a	Former SEC adviser	$105M	N	yes	n/a
JAMES ALPHA MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	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
2016	Mar 23, 2017	$429M	$429M	4	1	n/a	n/a	n/a
2015	Jan 28, 2016	$400M	$400M	5	3	n/a	n/a	n/a
2014	May 5, 2015	$370M	$370M	5	3	n/a	n/a	n/a
2013	Mar 7, 2014	$275M	$275M	5	2	n/a	n/a	n/a
2012	Mar 28, 2013	$120M	$120M	5	2	n/a	n/a	n/a
2011	Apr 9, 2012	$30.0M	$30.0M	n/a	n/a	n/a	n/a	n/a

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
2016	$6.5M	$400M	-98.4%	$275M	-71.3%	4	5	n/a	n/a

Relationships

Affiliated with (1)

→ JAMES ALPHA MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← GREENE, KEVIN, ROBERTOwnerMANAGING MEMBER, ownership code C, individual
Apr 9, 2012 to presentfactForm ADV
← NAYDEN, DENIS, JAMESOwnerMEMBER, ownership code C, individual
Apr 9, 2012 to presentfactForm ADV
← VITALIE, JAMES, SAMUELOwnerMANAGING MEMBER AND PRESIDENT, ownership code NA, individual
May 5, 2016 to presentfactForm ADV
← ANTH, ELIZABETHOwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 8, 2017 to presentfactForm ADV
← ASCENT INVESTMENT PARTNERS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Apr 9, 2012 to presentfactForm ADV
← JAMES ALPHA MANAGEMENTOwnerMANAGER, ownership code D, domestic entity
Apr 9, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bce91d8f-9a20-1426-a4ce-7d5bba9d2d1b
First observed: Apr 9, 2012
Last observed: Aug 29, 2017 110 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.

ASCENT INVESTMENT ADVISORS, LLC

CRD 147277

GREENWOOD VILLAGE, CO

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:bce91d8f-9a20-1426-a4ce-7d5bba9d2d1b

Data as of Aug 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANTH, ELIZABETH

MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER

yes

05/2017

Jun 8, 2017

Aug 29, 2017

ASCENT INVESTMENT PARTNERS, LLC

MANAGING MEMBER

yes

03/2011

Apr 9, 2012

Aug 29, 2017

GREENE, KEVIN, ROBERT

MANAGING MEMBER

yes

02/2006

Apr 9, 2012

Aug 29, 2017

JAMES ALPHA MANAGEMENT

Manager

yes

03/2011

Apr 9, 2012

Aug 29, 2017

NAYDEN, DENIS, JAMES

Member

yes

02/2006

Apr 9, 2012

Aug 29, 2017

VITALIE, JAMES, SAMUEL

MANAGING MEMBER AND PRESIDENT

yes

05/2016

May 5, 2016

Aug 29, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JAMES ALPHA MANAGEMENT, LLC

n/a

Former SEC adviser

$105M

yes

n/a

JAMES ALPHA MANAGEMENT LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 23, 2017

$429M

n/a

2015

Jan 28, 2016

$400M

n/a

2014

May 5, 2015

$370M

n/a

2013

Mar 7, 2014

$275M

n/a

2012

Mar 28, 2013

$120M

n/a

2011

Apr 9, 2012

$30.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$6.5M

$400M

-98.4%

$275M

-71.3%

n/a