MA/A
0001609267
XXXXXXXX
Allen DeVincent
6177804229
allen.devincent@ascensus.com
compliance@ascensus.com
cindy.lam-yee@ascensus.com
allen.devincent@ascensus.com
david.macinnis@ascensus.com
ASCENSUS INVESTMENT ADVISORS, LLC
120632
04-3525107
866-00727-00
867-00495
801-61492
120632
120632
AR
DE
DC
IL
IN
MA
NV
NM
NY
RI
140 Kendrick Street
Building C Floor 3 Suite C320
Needham
MA
02494
617-631-1570
N
David
Bruce
MacInnis
140 Kendrick Street
Building C Floor 3 Suite C320
Needham
MA
02494
9788850873
david.macinnis@ascensus.com
Allen
John
DeVincent
Compliance Manager
140 Kendrick Street
Building C Floor 3 Suite C320
Needham
MA
02494
617-780-4229
allen.devincent@ascensus.com
Add
Global Relay Communications, Inc.
220 Cambie St
Vancouver
Z4
V6B2M9
1-866-484-6630
Provides digital archiving and electronic records management for electronic communication retention
Add
Securities Industry Record Services, LLC
1420 W. 8700 S.
West Jordan
UT
84088
1-866-568-7151
Provides electronic storage media in compliance with 17a-4 books and records requirements
Add
My Compliance Office
535 Fifth Avenue
New York
NY
10017
1-866-951-2280
Provides compliance management software and the digital archiving of electronic reports generated.
Add
Box, Inc.
900 Jefferson Avenue
Redwood City
CA
94063
877-729-4269
Provides electronic storage media in compliance with 17a-4 books and records requirements.
Ascensus Broker Dealer Services, LLC
Y
Securities and Exchange Commission
8-47312
Ascensus College Savings Recordkeeping Services, LLC
Y
Securities and Exchange Commission
084-06488
Kroll Securities, LLC
Y
Securities and Exchange Commission
8-47558
Newport Trust Company
Y
New Hampshire
NH
Provident Trust Group, LLC
Y
Nevada
NV
Newport Group Consulting, LLC
Y
Securities and Exchange Commission
801-66908
Ascensus Trust Company
Y
North Dakota
ND
December
DE
05-07-2002
N
48
2
2
2
0
27
Municipal Entities
0
0
0
Not Applicable
Other
PERCENTAGE OF PROGRAM MANAGEMENT FEE AND PERCENTAGE OF AUA
Not Applicable
Advice Insurance Of MS
Other
Oversight and monitoring of investment managers
Y
Y
Y
The firm & its affiliates provides program mgmt, recordkeeping, administration, and investment mgmt & oversight services for qualified tuition plans/529 pans, 529 ABLE plans and State Facilitated Retirement Plans. These services are provided in tandem with the firm's affiliated broker dealer and transfer agent entities as contracted.
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Trust Company
Pension consultant
6
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Ascensus Broker Dealer Services, LLC
Ascensus Broker Dealer Services, LLC
N
Y
N
Add
Trust Company
ASCENSUS TRUST COMPANY
ASCENSUS TRUST COMPANY
N
Y
N
Add
Trust Company
PROVIDENT TRUST GROUP, LLC
PROVIDENT TRUST GROUP, LLC
N
Y
N
Add
Investment Adviser
Pension consultant
NEWPORT GROUP CONSULTING, LLC
NEWPORT GROUP CONSULTING, LLC
N
Y
N
Add
Trust Company
NEWPORT TRUST COMPANY
NEWPORT TRUST COMPANY
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
KROLL SECURITIES LLC
KROLL SECURITIES LLC
N
Y
N
N
Y
N
N
N
N
Y
Y
Y
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Ascensus, LLC
N
11-3665754
Sole Member of Ascensus Investment Advisors, LLC
01-01-2025
E
Y
Margaret
Brennan
Creonte
President
05-29-2020
NA
Y
5100129
Michael
Robert
Folmer
Treasurer and Vice President, Tax and Finance
07-15-2015
NA
Y
5655451
Robert
Barry
Kaplan
Chief Compliance Officer/Secretary
07-20-2018
NA
Y
1286735
Thomas
Winthrop
Lowe
Vice President, Investment Management
03-27-2019
NA
Y
3089857
Thomas
Joseph
Hewitt
Senior Vice President, Relationship Management
05-01-2023
NA
Y
4251705
ASCENSUS, LLC
ASCENSUS HOLDINGS, INC.
N
82-3719843
100% SHAREHOLDER OF ASCENSUS, LLC
01-01-2025
E
Y
ASCENSUS HOLDINGS, INC.
MERCURY BORROWER, INC.
N
47-5167291
100% Shareholder
08-02-2021
E
Y
MERCURY BORROWER, INC.
MERCURY INTERMEDIATE II, INC.
N
86-3558177
100% Shareholder
08-02-2021
E
Y
MERCURY INTERMEDIATE II, INC.
MERCURY INTERMEDIATE I, INC.
N
86-3558280
100% Shareholder
08-02-2021
E
Y
MERCURY INTERMEDIATE I, INC.
MERCURY PARENT HOLDINGS, INC.
N
86-3558371
100% Shareholder
08-02-2021
E
Y
MERCURY PARENT HOLDINGS, INC.
STONE POINT CAPITAL INVESTORS TRIDENT VIII, L.P.
N
98-1455374
Shareholder
08-02-2021
D
Y
Ascensus Holdings, Inc.
Ascensus Group Holdings, Inc.
N
47-5167291
100% shareholder of Ascensus Holdings, Inc.
01-01-2025
E
Y
Ascensus, LLC
N
11-3665754
Sole Member of Ascensus Investment Advisors, LLC
01-01-2025
E
Y
Margaret
Brennan
Creonte
President
05-29-2020
NA
Y
5100129
Michael
Robert
Folmer
Treasurer and Vice President, Tax and Finance
07-15-2015
NA
Y
5655451
Delete
Robert
Barry
Kaplan
Chief Compliance Officer/Secretary
07-20-2018
NA
Y
1286735
Thomas
Winthrop
Lowe
Vice President, Investment Management
03-27-2019
NA
Y
3089857
Thomas
Joseph
Hewitt
Senior Vice President, Relationship Management
05-01-2023
NA
Y
4251705
NewAdd
David
Bruce
MacInnis
Chief Compliance Officer and Secretary
07-20-2026
NA
Y
3184368
ASCENSUS, LLC
ASCENSUS HOLDINGS, INC.
N
82-3719843
100% SHAREHOLDER OF ASCENSUS, LLC
01-01-2025
E
Y
ASCENSUS HOLDINGS, INC.
MERCURY BORROWER, INC.
N
47-5167291
100% Shareholder
08-02-2021
E
Y
MERCURY BORROWER, INC.
MERCURY INTERMEDIATE II, INC.
N
86-3558177
100% Shareholder
08-02-2021
E
Y
MERCURY INTERMEDIATE II, INC.
MERCURY INTERMEDIATE I, INC.
N
86-3558280
100% Shareholder
08-02-2021
E
Y
MERCURY INTERMEDIATE I, INC.
MERCURY PARENT HOLDINGS, INC.
N
86-3558371
100% Shareholder
08-02-2021
E
Y
MERCURY PARENT HOLDINGS, INC.
STONE POINT CAPITAL INVESTORS TRIDENT VIII, L.P.
N
98-1455374
Shareholder
08-02-2021
D
Y
Ascensus Holdings, Inc.
Ascensus Group Holdings, Inc.
N
47-5167291
100% shareholder of Ascensus Holdings, Inc.
01-01-2025
E
Y
David MacInnis
David MacInnis
Chief Compliance Officer
08-11-2026
3184368
N
N
N
N
N
Y
N
N
N
N
Y
N
Y
N
N
N
N
N
Y
N
Y