ASCEND CAPITAL LLC
CRD #118397 SEC #801-65340 ORINDA, CA (415) 217-8300
SEC Registered Private Funds
Total AUM
$1.5B
Discretionary
$1.5B
Employees
35
Clients
--
Accounts
5
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2018
- Branch Offices
- 1
- LEI
- QWHZQS0XJ59SUT1GS47
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHENOY, RAMONA, ARVIND | I | DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| SLAVET, BENJAMIN, DAVID | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF RELYING ADVISER) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF RELYING ADVISER) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF RELYING ADVISER) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF RELYING ADVISER) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF RELYING ADVISER) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF RELYING ADVISER) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF RELYING ADVISER) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| ASCEND CAPITAL LLC | DE | GENERAL PARTNER (OF ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER)) | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | MANAGING MEMBER | E | Control |
| COGAN/GOLDBERG LIVING TRUST | DE | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | B | |
| COGAN/GOLDBERG LIVING TRUST | DE | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | B | |
| STOKES, MICHAEL, BANNON | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | B | |
| STOKES, MICHAEL, BANNON | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | B | |
| STOKES, MICHAEL, BANNON | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | B | |
| CASULO, CARLO | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| CASULO, CARLO | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| CASULO, CARLO | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| CASULO, CARLO | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| STOKES, MICHAEL, BANNON | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| STOKES, MICHAEL, BANNON | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| STOKES, MICHAEL, BANNON | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| WYSS, JOSHUA, EDWARD | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A | |
| WYSS, JOSHUA, EDWARD | I | LIMITED PARTNER, ASCEND CAPITAL LIMITED PARTNERSHIP (RELYING ADVISER) | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| COGAN, JEREMY, DAVID | I | COGAN/GOLDBERG LIVING TRUST | F | |
| COGAN, JEREMY, DAVID | I | COGAN/GOLDBERG LIVING TRUST | F | |
| GOLDBERG, BETH, RACHEL | I | COGAN/GOLDBERG LIVING TRUST | F | |
| GOLDBERG, BETH, RACHEL | I | COGAN/GOLDBERG LIVING TRUST | F | |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
| FAIRBAIRN, MALCOLM, PAUL | I | ASCEND CAPITAL, LLC | E | Control |
Registrations
Federal
IA
Mar 28, 2018 REGISTERED
Notice Filings (1)
CA
Address
4 ORINDA WAYSUITE 200-C
ORINDA, CA 94563
United States
Phone: (415) 217-8300