Investment adviser · CRD 118397

ASCEND CAPITAL LLC

Investment adviser filing (IA)

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

Regulatory AUM
$1.51B
Form ADV · Item 5.F
Client accounts
5
Accounts, not individual clients
Employees
35
Reported in this filing
Advisory professionals
22
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Sovereign wealth & foreign institutions1$649,587,27042.9%
Pooled investment vehicles3$643,450,87042.5%
Investment companies1$220,169,13214.5%
Filing source

Form ADV 1201162 · 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

15 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 BPO, LTD.Hedge Fund · Last reported Mar 28, 2018$206MGross asset value

Form D fundraising filings

Ascend Partners Fund BPO, Ltd.

Fund administrator STONE COAST FUND SERVICES LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG GRAND CAYMAN, Cayman Islands
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
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
No

KPMG
PCAOB 1323

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
805-7431575835
Reported beneficial owners
4
Minimum commitment
$10M
Form D file number
021-91249

Form ADV 1201162 · 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 PLAZA FUND, LTD.Hedge Fund · Last reported Mar 28, 2018$164MGross asset value

Form D fundraising filings

ASCEND PLAZA FUND, LTD.

Fund administrator STONE COAST FUND SERVICES LTD GRAND CAYMAN, Cayman Islands 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 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
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, 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
No

KPMG, LLP
PCAOB 1323

BARCLAYS CAPITAL INC.
SEC 8-41342

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MORGAN STANLEY & CO. LLC
SEC 8-15869

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

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

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

Fund details & source
Fund ID
805-5040277285
Reported beneficial owners
1
Minimum commitment
$10M
Form D file number
021-242513

Form ADV 1201162 · 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 PARTNERS FUND II LPHedge Fund · Last reported Mar 24, 2017$532MGross asset value
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 MORGAN STANLEY PURCHASE, New York, 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

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

MORGAN STANLEY
CRD 149777 · SEC 801-70103

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
25
Minimum commitment
$10M
Form D file number
021-64892

Form ADV 1082119 · Mar 24, 2017 · 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 PARTNERS FUND II, LTD.Hedge Fund · Last reported Mar 24, 2017$453MGross asset value
Fund administrator STONE COAST FUND SERVICES LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG GRAND CAYMAN, Cayman Islands
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 CAIS CAPITAL LLC NEW YORK, New York, United States Related to adviser: No
Marketer MITSUBISHI CORPORATION ASSET MANAGEMENT LTD. TOKYO, Japan Related to adviser: No
Marketer MORGAN STANLEY PURCHASE, New York, 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

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

CAIS CAPITAL LLC
CRD 154512 · SEC 8-68646

MORGAN STANLEY
CRD 149777 · SEC 801-70103

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
805-2499859357
Reported beneficial owners
29
Minimum commitment
$10M
Form D file number
021-64895

Form ADV 1082119 · Mar 24, 2017 · 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 AC FUND LPHedge Fund · Last reported Mar 24, 2017$361MGross asset value
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 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 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

BARCLAYS CAPITAL INC.
SEC 8-41342

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MORGAN STANLEY & CO. LLC
SEC 8-15869

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

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

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

Fund details & source
Fund ID
805-6645251988
Reported beneficial owners
2
Minimum commitment
$10M
Form D file number
021-230011

Form ADV 1082119 · Mar 24, 2017 · 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 24, 2017$346MGross asset value
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
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
No

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
805-7609631797
Reported beneficial owners
2
Minimum commitment
$10M
Form D file number
021-167592

Form ADV 1082119 · Mar 24, 2017 · 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 CN FUND LPHedge Fund · Last reported Mar 24, 2017$187MGross asset value
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

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
805-3716076767
Reported beneficial owners
2
Minimum commitment
$10M
Form D file number
021-209795

Form ADV 1082119 · Mar 24, 2017 · 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.

Services & filing details

Most recent filing: Mar 28, 2018. View historical filings

Reported services

Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

4 ORINDA WAY, SUITE 200-C
ORINDA, CA, 94563, United States

CRD 118397

Filing source

Form ADV 1201162 · Mar 28, 2018 · Items 1 & 5

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