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.
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SEC-registered adviser
A••••• P•••••••
Legal name A••••• C•••••• P••••••• M••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2021 · 6 filings
SEC status approved since Jul 30, 2021
RAUM
$2.2B
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
19
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$2.2B as of Mar 31, 2026
Mar 30, 2022$629M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20220 then
Employees (5.A)19 as of Mar 31, 2026
Mar 30, 20228 then
Private funds16 as of Mar 31, 2026
Mar 30, 20226 then
RAUM +87% over the last fiscal year+55% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $136MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +87%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $629M, 6 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $629M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• C•••••• P••••••• F••• I••• L••• | Private Equity Fund | $356M | 18 | Mar 31, 2021 |
| A••••• C•••••• P••••••• F••• I• L••• | Private Equity Fund | $198M | 9 | Mar 31, 2021 |
| A••••• S•• C••••••• 1• L••• | Private Equity Fund | $175M | 29 | Mar 30, 2024 |
| A••••• C•••••• P••••••• C•••••••• ••••••••• L••• | Private Equity Fund | $103M | 6 | Mar 31, 2021 |
| A••••• S•• C••••••• 2• L••• | Private Equity Fund | $62.7M | 11 | Mar 30, 2024 |
| N•• S••• H••••••••• L•no longer reported | Private Equity Fund | $58.1M | 6 | Mar 31, 2021 |
| A••••• C•••••• P••••••• F••• I•••• L••• | Private Equity Fund | $43.2M | 58 | Aug 19, 2020 |
| A••••• C•••••• P••••••• C••••••••• L••• | Private Equity Fund | $19.2M | 5 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- H••••• I••••• · Managing Partner Of The Filing Advisercontrolsince 04/2020 · owns 50% to 75%
- L••••• B•••••• M•••• · Head Of Fund Administrationcontrolsince 08/2020 · owns less than 5%
- P•••• R•••••• · Managing Partner Of The Filing Advisercontrolsince 04/2020 · owns 50% to 75%
- R•••••••• D•••••• A•••••• · Chief Compliance Officercontrolsince 12/2020 · owns less than 5%
Related persons
Schedule D 7.A
- A••••• C•••••• P••••••• F••• I• G•• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 10.0 to 16.0 (+60.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1022 comparable advisers, 96.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 96% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,162,948,499 to $2,176,274,072 (+87.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 93.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 16Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 11 to 13Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 10 to 16Mar 31, 2025 to Mar 31, 2026
- Employees · 16 to 19Mar 31, 2025 to Mar 31, 2026
- Private funds · 10 to 16Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $2.2BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.2B to $2.2BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.2B to $2.2BMar 31, 2025 to Mar 31, 2026
- Accounts · 7 to 10Mar 30, 2024 to Mar 31, 2025
- Advisory employees · 9 to 11Mar 30, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 10Mar 30, 2024 to Mar 31, 2025
- Employees · 14 to 16Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 30, 2024 to Mar 31, 2025
- Private funds · 7 to 10Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $0 to $1.2BMar 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $957M to $0Mar 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $957M to $1.2BMar 30, 2024 to Mar 31, 2025
- RAUM · $957M to $1.2BMar 30, 2024 to Mar 31, 2025
- Accounts · 5 to 7Mar 31, 2023 to Mar 30, 2024
- Pooled vehicle clients · 5 to 7Mar 31, 2023 to Mar 30, 2024
- Employees · 11 to 14Mar 31, 2023 to Mar 30, 2024
- Private funds · 5 to 7Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $588M to $0Mar 31, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $0 to $957MMar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $588M to $957MMar 31, 2023 to Mar 30, 2024
- RAUM · $588M to $957MMar 31, 2023 to Mar 30, 2024
- Accounts · 6 to 5Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 6 to 9Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 5Mar 30, 2022 to Mar 31, 2023
- Employees · 8 to 11Mar 30, 2022 to Mar 31, 2023
- Private funds · 6 to 5Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $629M to $588MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $629M to $588MMar 30, 2022 to Mar 31, 2023
- RAUM · $629M to $588MMar 30, 2022 to Mar 31, 2023
- Assets in custody · $452M to $629MJun 30, 2021 to Mar 30, 2022
- Employees · 6 to 8Jun 30, 2021 to Mar 30, 2022
- Private funds · 12 to 6Jun 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $452M to $629MJun 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $452M to $629MJun 30, 2021 to Mar 30, 2022
- RAUM · $452M to $629MJun 30, 2021 to Mar 30, 2022
Signals
4 dated events
- A••••• P••••••• reported RAUM $2.2B, up 87% from $1.2B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••••• P••••••• reported RAUM $957.1M, up 63% from $588.1M (2023-03-31 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- A••••• P••••••• reported RAUM $629.2M, up 39% from $451.8M (2021-06-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- A••••• P••••••• filed its initial SEC registration (Form ADV)Jun 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- A••••• P••••••• · Private Equityshared crd · organization
- A••••• P••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ascend-partners-nycreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-689-2100reportedpublic record, Form ADV, Mar 31, 2026
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
- ASSET M••••••deriveda 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