Investment adviser · CRD 290195

ASCEND CAPITAL LIMITED PARTNERSHIP

Investment adviser filing (IA)

ORINDA, CA, United States · Form ADV filed Mar 28, 2018

Regulatory AUM: $2.22B
Client accounts: 10
Employees: 0
Advisory professionals: 0

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	9	$2,193,311,643	99.0%
Banks & thrifts	1	$21,785,313	1.0%

Filing source

Form ADV 1201184 · Mar 28, 2018 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

7 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ASCEND PARTNERS FUND LPHedge Fund · Last reported Mar 28, 2018$505MGross asset value

Form D fundraising filings

Ascend Partners Fund LP

Fund administrator STONE COAST FUND SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP SAN FRANCISCO, California, United States

Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No

Custodian DEUTSCHE BANK SECURITIES INC. SAN FRANCISCO, California, United States Related to adviser: No

Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer SUMMERWOOD CAPITAL CORP. TORONTO, Canada Related to adviser: No

Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States

Prime broker DEUTSCHE BANK SECURITIES INC. SAN FRANCISCO, California, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG, LLP
PCAOB 185

BARCLAYS CAPITAL INC.
SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MORGAN STANLEY & CO. LLC
SEC 8-15869

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-3023183656
Reported beneficial owners: 16
Minimum commitment: $10M
Form D file number: 021-64892

Form ADV 1201184 · Mar 28, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ASCEND WILSON FUND LPHedge Fund · Last reported Mar 28, 2018$380MGross asset value

Form D fundraising filings

Ascend Wilson Fund LP

Fund administrator STONE COAST SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No