Ascend Financial Advisers, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ascend Financial Advisers, Inc. provides financial planning and investment supervisory services to individuals, families, trusts, estates, and related entities including small family businesses, addressing matters such as retirement and estate planning, divorce planning, education funding, and investment management. Client assets are held with independent custodians and the firm is compensated solely by client fees rather than commissions.
The firm employs a tactical asset allocation approach, combining passive index and ETF exposures with actively managed funds, dividend-paying stocks, and individual municipal bonds when appropriate, and constructs individualized portfolios rather than using model portfolios or composites. Accounts are typically managed on a discretionary basis with client-specific restrictions and a review cadence negotiated with each client.
What is distinctive about the firm is that its principal maintains a separate, active legal practice as a California-licensed attorney and provides estate-planning and domestic-relations legal services to clients; the brochure discloses this overlap, the potential for conflicts of interest, and states such conflicts will be disclosed and managed. The firm also generates net-worth reports that include approximations for hard-to-price assets and encourages clients to compare those reports with custodian statements, and it does not accept sales commissions or vote client proxies on behalf of clients.
Client services
Expertise
Occupation focus
Fee options
Retainer fees may be charged, not based on assets or hourly estimates; comprehensive financial planning fees quoted case-by-case
$0 - $250,000: 1.50% $250,000 - $500,000: 1.00% $500,000 - $1,000,000: 0.85% $1,000,000+: 0.75%
$350.00 per hour for financial planning consulting services and written reports
Account minimum: $100,000 Fee-only: Financial planning billed at $350 per hour; comprehensive planning fees quoted case-by-case
Main office
100 Pacifica, Suite 370
Irvine CA 92618
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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