ASCENT INVESTMENT ADVISORS, LLC
CRD #147277 SEC #801-69196 GREENWOOD VILLAGE, CO 303-220-3863
SEC Registered Private Funds Disclosures
Total AUM
$429.2M
Discretionary
$429.2M
Employees
4
Clients
0
Accounts
3
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Colorado
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 8, 2017
- Branch Offices
- --
- CIK (EDGAR)
- 924628
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANTH, ELIZABETH | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ANTH, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANTH, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PRESIDENT, PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PORTFOLIO MANAGER | NA | Control |
| DUFFY, ANDREW, JAMES | I | PORTFOLIO MANAGER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| LEWIS, RANDOLPH, STEVEN | I | EXECUTIVE VP, SECRETARY TREASURER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEMPLE, DOUGLAS, GUY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| VITALIE, JAMES, SAMUEL | I | PRESIDENT | NA | Control |
| VITALIE, JAMES, SAMUEL | I | MANAGING MEMBER AND PRESIDENT | NA | Control |
| VITALIE, JAMES, SAMUEL | I | PRESIDENT | NA | Control |
| VITALIE, JAMES, SAMUEL | I | PRESIDENT | NA | Control |
| VITALIE, JAMES, SAMUEL | I | PRESIDENT | NA | Control |
| VITALIE, JAMES, SAMUEL | I | PRESIDENT | NA | Control |
| VITALIE, JAMES, SAMUEL | I | PRESIDENT | NA | Control |
| VITALIE, JAMES, SAMUEL | I | PRESIDENT | NA | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| ASCENT INVESTMENT PARTNERS, LLC | DE | OWNER | E | Control |
| REAL ESTATE SECURITIES PARTNERS, LLC | DE | OWNER | E | Control |
| REAL ESTATE SECURITIES PARTNERS, LLC | DE | OWNER | E | Control |
| REAL ESTATE SECURITIES PARTNERS, LLC | DE | OWNER | E | Control |
| REAL ESTATE SECURITIES PARTNERS, LLC | DE | OWNER | E | Control |
| REAL ESTATE SECURITIES PARTNERS, LLC | DE | OWNER | E | Control |
| WINKLER, MYRON, DAVID | I | CHAIRMAN | B | Control |
| WINKLER, MYRON, DAVID | I | CHAIRMAN | B | Control |
| WINKLER, MYRON, DAVID | I | CHAIRMAN | B | Control |
| WINKLER, MYRON, DAVID | I | CHAIRMAN; PORTFOLIO MANAGER | B | Control |
| WINKLER, MYRON, DAVID | I | CHAIRMAN; PORTFOLIO MANAGER | B | Control |
| COHEN, DAVID, SOMMERS | I | CHIEF COMPLIANCE OFFICER | A | Control |
| COHEN, DAVID, SOMMERS | I | CHIEF COMPLIANCE OFFICER | A | Control |
| LEWIS, RANDOLPH, STEVEN | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | A | Control |
| LEWIS, RANDOLPH, STEVEN | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | A | Control |
| LEWIS, RANDOLPH, STEVEN | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | A | Control |
| LEWIS, RANDOLPH, STEVEN | I | MANAGING MEMBER | A | Control |
| LEWIS, RANDOLPH, STEVEN | I | MANAGING MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| JAMES ALPHA MANAGEMENT | DE | ASCENT INVESTMENT PARTNERS, LLC | D | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| GREENE, KEVIN, ROBERT | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
| NAYDEN, DENIS, JAMES | I | JAMES ALPHA MANAGEMENT | C | Control |
Registrations
Federal
IA
Jun 8, 2017 REGISTERED
Notice Filings (2)
CO NY
Address
6400 S. FIDDLERS GREEN CIRCLESUITE 1360
GREENWOOD VILLAGE, CO 80111
United States
Phone: 303-220-3863