Ascent Advisors

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Total assets under management

$101,000,000

Total clients

230

13% high-net worth

Total advisors

of 9 employees

Firm size

Team

4-10 advisors or $500M+ in AUM

Average clients per advisor

Average account size

$439,130

About

Ascent Advisors provides portfolio management and related advisory services to a mix of clients that includes pension and profit-sharing plans, corporations, and individual investors. The firm also offers specialized consulting on Delaware Statutory Trusts (DSTs) and 1031 exchange planning, as well as financial planning services.

The firm describes a multi-method investment process that uses fundamental, quantitative, technical and charting analysis alongside modern portfolio theory, with portfolios managed on a discretionary basis and governed by written Investment Policy Statements. Ascent emphasizes regular portfolio monitoring and offers bespoke DST due diligence and coordination with clients’ tax and legal advisors as part of its implementation approach.

Ascent is notable among its peers for providing pension and employee benefit plan consulting, a service line that is relatively uncommon for investment-manager firms, and for offering financial planning on an hourly basis in addition to other fee arrangements. The brochure also discloses that supervised persons are licensed insurance agents who may offer insurance products and receive outside compensation, a potential conflict the firm says it discloses and manages.

Client services

Financial planning Portfolio management Pension consulting Dst consulting

Expertise

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Fee options

Fixed

One-time DST consulting fees: $5,000 (Tier 1: $100,000-$249,999 DST investment) up to $30,000 (Tier 4: $1,000,000-$1,999,999 DST investment), custom fees $40,000+ (Tier 5: $2,000,000+ DST investment); Fixed financial planning fees $1,500 to $100,000

Percentage

$0+: Negotiable, generally up to 1.50% (tiered/blended fee schedule) for Portfolio Management $0 - $1,000,000: 1.00% annually for Pension Consulting $1,000,001 - $3,000,000: 0.75% annually for Pension Consulting $3,000,001 - $5,000,000: 0.50% annually for Pension Consulting $5,000,001+: 0.25% annually for Pension Consulting

Project-based

$350 to $2,000 per hour for financial planning services

Other

Fee-only: Fixed financial planning fees between $1,500 and $100,000; Hourly financial planning fees between $350 and $2,000 per hour; Flat one-time DST consulting fees tiered from $5,000 to $30,000 and custom $40,000+ depending on DST investment size

Main office location

Ascent Advisors

1600 Madison Avenue, Suite 103

Mankato MN 56001, United States

Number of offices

Most active in

California · Florida · Illinois · Minnesota · Nebraska · Texas · Washington · Wisconsin

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Is not active or affiliated with:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

Facebook Instagram Website 952-444-3100

Advisors at this firm

Thomas K

Series 63, Series 65

Lindstrom, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Jared H

Series 66

Buffalo, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Donald P

CFA®, Series 63

Maple Grove, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Chad W

ChFC®, Series 63

Maple Grove, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Christopher B

Series 63, Series 65

Mankato, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Derrick G

CFP®, Series 66

Mankato, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Peter O

CFP®, Series 63

Maple Grove, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

Benjamin B

Series 66

Mankato, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

James L

Series 63, Series 65

Maple Grove, MN

Ascent Advisors

Real estate investing Retirement plans for business owners (SEP, solo 401k) Income planning Annuities

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