Ascent Fintech LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ascent Fintech LLC is an independent, state-registered advisory firm that serves individuals, families, pension and retirement plans, and institutions, and reports approximately $4.85 million in discretionary assets under management across roughly 53 client accounts. Its service offerings include asset management (on both a discretionary and non-discretionary basis), project-based financial planning, and ERISA and retirement plan services.
The firm uses both passive and active investment strategies and tailors portfolios to each client’s stated goals, time horizon and risk tolerance, with portfolio monitoring and rebalancing documented in client files; financial plans are typically delivered within a sixty-day target once documentation is received. For retirement plans Ascent provides participant education, plan design and vendor evaluation, and can act as a non‑fiduciary consultant, a limited-scope ERISA 3(21) fiduciary, or an ERISA 3(38) investment manager with discretionary responsibility for plan investment lineups.
Distinctive aspects disclosed in the brochure include the firm’s promotion of hypothetical performance and the advertisement of past performance results—practices that are uncommon for independent, solo advisers—and a relatively broader pension consulting practice that covers a variety of plan types. The brochure also notes affiliated business activities and potential crossover clients, and describes personal trading controls and quarterly reviews by the Chief Compliance Officer, information relevant to assessing conflicts of interest and oversight.
Client services
Expertise
Fee options
Fixed fee basis possible for certain retirement plan consulting projects, determined by scope and complexity
$0 - $100,000: 1.00% annually $100,000.01 - $500,000: 0.90% annually $500,000.01 - $1,000,000: 0.80% annually $1,000,000.01 - $3,000,000: 0.70% annually $3,000,000.01 - $5,000,000: 0.60% annually $5,000,000.01+: 0.50% annually
Financial planning and consulting at $250 per hour; Retirement Plan non-fiduciary consulting at $250 per hour
Minimum fee: Retirement Plan Services minimum annual fee of $500 until plan assets reach $100,000 Fee-only: Asset management fees and hourly financial planning fees; no commissions received
Main office
Carol Stream IL
Advisors at this office
1
Most active in
Illinois · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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Lawyer
They provide legal services, typically billed separately.
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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
Quick links
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