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

Compliance

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

Marketing

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

Sales

  • Distribution
  • Education
  • National Accounts

Client Relations

  • Support
  • Updates
  • Platforms
  • Custodians

Our Process

Product Development

Our process begins by assessing our partner’s needs and advising on fund structure. Our product team features industry veterans with deep knowledge of investment product construction and management. After determining the appropriate product structure and investment objectives, we work with counsel to create all necessary offering materials.

Due Diligence

In this phase, our team provides consulting for oversight and asset management, as well as reporting and best practices. With three team members with expertise as Due Diligence Officers, Ascendant considers the Due Diligence process of utmost importance.

Compliance

The Ascendant team features four Registered Compliance Principals. We assist with FINRA Adver­tising submissions and review and stay up to date on regulatory shifts to remain in line with Compliance best practices.

Marketing Services

High-quality sales materials, investor presentations, periodic fund updates and quarterly reports with commentary are all standard features provided to our clients. With an eye for detail, our Marketing Services team is experienced in disseminating information to a global audience.

Sales Education & Support

The Ascendant team has core competency in sales support, assisting our partners with product distribution efforts both domestically and abroad. In addition, we are directing resources to enhance educational initiatives to provide support to our partners’ sales force.

Client Relations

Our dedicated Client Relations team provides personalized service to our growing base of 14,000 investors. We maintain relationships with custodians and work with sales representatives to ensure all subscriptions are processed in good order and in a timely fashion. Additionally, we provide access to tax forms, historical data / information and assist with proxy voting.