DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Ascendant Capital Management, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 174260SEC 801-80770IAPD
Latest filing Apr 3, 2023
First filing on the tape Dec 15, 2014 · 11 filings
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$123M as of Apr 3, 2023
Mar 28, 2016$49.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 3, 2023
Mar 28, 20161 then
Employees (5.A)7 as of Apr 3, 2023
Mar 28, 20164 then
Private funds: no history
RAUM -28% over the last fiscal year+7.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 3, 2023; every figure names its basis
RAUM per advisor
$61.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$61.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-28%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$123M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Lindsay Jordan Kahn · Chief Investment Officer, Managing Membercontrol
    since 10/2014 · owns 75% or more
  • Suebpong Sam Puathasnanon · Chief Compliance Officercontrol
    since 12/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Ascendant Capital Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $172M to $123M
    Mar 31, 2022 to Apr 3, 2023
  • RAUM · $172M to $123M
    Mar 31, 2022 to Apr 3, 2023
  • Advisory employees · 3 to 4
    Mar 31, 2021 to Mar 31, 2022
  • BD registered reps · 3 to 2
    Mar 31, 2021 to Mar 31, 2022
  • Employees · 8 to 7
    Mar 31, 2021 to Mar 31, 2022
  • State-registered IARs · 3 to 2
    Mar 31, 2021 to Mar 31, 2022
  • Discretionary RAUM · $133B to $172M
    Mar 31, 2021 to Mar 31, 2022
  • RAUM · $133B to $172M
    Mar 31, 2021 to Mar 31, 2022
  • Advisory employees · 2 to 3
    Mar 30, 2020 to Mar 31, 2021
  • BD registered reps · 1 to 3
    Mar 30, 2020 to Mar 31, 2021
  • Employees · 6 to 8
    Mar 30, 2020 to Mar 31, 2021
  • State-registered IARs · 2 to 3
    Mar 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · $99.5M to $133B
    Mar 30, 2020 to Mar 31, 2021
  • RAUM · $99.5M to $133B
    Mar 30, 2020 to Mar 31, 2021
  • Advisory employees · 1 to 2
    Mar 29, 2019 to Mar 30, 2020
  • Employees · 7 to 6
    Mar 29, 2019 to Mar 30, 2020
  • State-registered IARs · 1 to 2
    Mar 29, 2019 to Mar 30, 2020
  • Other offices · 1 to 0
    Mar 29, 2019 to Mar 30, 2020
  • Discretionary RAUM · $86.7M to $99.5M
    Mar 29, 2019 to Mar 30, 2020
  • RAUM · $86.7M to $99.5M
    Mar 29, 2019 to Mar 30, 2020
  • Accounts · 1 to 2
    Jan 23, 2018 to Mar 29, 2019
  • Advisory employees · 2 to 1
    Jan 23, 2018 to Mar 29, 2019
  • BD registered reps · 0 to 1
    Jan 23, 2018 to Mar 29, 2019
  • Employees · 5 to 7
    Jan 23, 2018 to Mar 29, 2019
  • Insurance-licensed employees · 0 to 1
    Jan 23, 2018 to Mar 29, 2019
  • Discretionary RAUM · $65.1M to $86.7M
    Jan 23, 2018 to Mar 29, 2019
  • RAUM · $65.1M to $86.7M
    Jan 23, 2018 to Mar 29, 2019
  • Employees · 3 to 5
    Feb 6, 2017 to Jan 23, 2018
  • Other offices · unset to 1.0
    Feb 6, 2017 to Jan 23, 2018
  • Discretionary RAUM · $47.9M to $65.1M
    Feb 6, 2017 to Jan 23, 2018
  • RAUM · $47.9M to $65.1M
    Feb 6, 2017 to Jan 23, 2018
  • Employees · 4 to 3
    Mar 28, 2016 to Feb 6, 2017
  • Discretionary RAUM · $49.5M to $47.9M
    Mar 28, 2016 to Feb 6, 2017
  • RAUM · $49.5M to $47.9M
    Mar 28, 2016 to Feb 6, 2017
  • Employees · 2 to 4
    Apr 30, 2015 to Mar 28, 2016
  • Discretionary RAUM · $23.9M to $49.5M
    Apr 30, 2015 to Mar 28, 2016
  • RAUM · $23.9M to $49.5M
    Apr 30, 2015 to Mar 28, 2016
  • Related adviser · true to false
    Apr 30, 2015 to Mar 28, 2016
  • Accounts · 0 to 1
    Dec 23, 2014 to Apr 30, 2015
  • Discretionary RAUM · $0 to $23.9M
    Dec 23, 2014 to Apr 30, 2015
Signals
5 dated events
  • Jordan Lindsay Kahn left Ascendant Capital Management, Llc for Hcr Wealth Advisors (registered 2019-02-25)
    May 24, 2023 · Advisor changed firm · fact
  • David Rabin left Ascendant Capital Management, Llc for Regan Capital (registered 2024-03-08)
    Aug 8, 2022 · Advisor changed firm · fact
  • Ascendant Capital Management, Llc reported RAUM $171.9M, down 100% from $133.4B (2021-03-31 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • Ascendant Capital Management, Llc reported RAUM $133.4B, up 134034% from $99.5M (2020-03-30 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • Ascendant Capital Management, Llc filed its initial SEC registration (Form ADV)
    Dec 15, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026