Our Process

Product Development

  • Structuring
  • Research
  • Project Management of Product Launch
    • PPM
    • Offering Material
    • Sub Docs
    • LPA

Due Diligence

  • 3rd Party Reports
    • Mick & Associates
    • FactRight
    • Mercer
    • Buttonwood
  • DD Questionnaires
  • Upfront & Ongoing DD
  • Ongoing Oversight


  • Additional Layer of Oversight
    • Four Series 24 Held
    • Advertising Oversight
    • Marketing Material Oversight


  • Communications
  • Messaging / Copy
  • Website / SEO
  • DD / Marketing Events
  • PR / Positioning
  • Fulfillment


  • Distribution
  • Education
  • National Accounts

Client Relations

  • Support
  • Updates
  • Platforms
  • Custodians

Capital Markets Associate

Reports to: Director of Client Relations and Operations Manager
Department: National Accounts
Job Type: Internal Sales/Supportive
Location: Austin, TX

Duties & Responsibilities:

  • Internal sales support to national accounts and international teams to, fulfill follow up requests, manage progress, track next steps with firms, manage calendars, follow up on meetings, webinars, intro calls, provide necessary materials, follow-up to affect business, and help to keep team organized and ensure team is keeping Salesforce up to date
  • Responsible for taking notes on national accounts and international team calls, noting key updates in Salesforce and reporting to management to ensure follow up
  • Track prescribed selling agreement process in Salesforce and monitor next steps; produce reporting to management
  • Liaison with third party law firms to facilitate third party report requests from due diligence officers
  • Runs the selling agreement logistical processes for national accounts and the international team; to include composing agreement, sending materials to DD officers, pushing through execution of referral, dealer and consultant agreements, logging in Salesforce, tracking all details in SalesForce and saving internally, working with marketing to send intro email and sending update to Ascendant team
  • Work with Database Manager to import and assign all new broker-dealer contacts of firms and new rep lists
  • Research and update profiles of broker-dealer firms; work with external account manager to notate firm’s due diligence process in Salesforce
  • Provide regular reports to back offices with updates on production, % of total raise, top producers, # of producers, etc
  • Coordinate and execute on any deliverables to support the growth of the foreign markets team and channel
  • Work with national accounts external and international team to identify (potential) producers and commitment and upside from each (potential) producer in territory and manage the commit to actual spreadsheet; should track to annual goals and be provided to management on time; management should be made aware of any changes in monthly, quarterly and annual commits
  • Makes sure external sales is equipped and ready for all meetings, webinars, seminars, etc. with data, materials, sales updates
  • Works with client relations to introduce to potential producers and take subscription process past the point


  • Quarterly reports to back office with defined data based on inferred needs or requests (top producers, total raise, raise by firm, % of AUM)
  • Weekly Salesforce report provided to supervisor tracking status of selling agreements, including next steps
  • AI portal that is up to date
  • Clean, up to date due diligence binder with organized database of executed agreements