Ascent Capital Management, Inc.

Ascent Capital Management is a boutique advisory firm that manages discretionary investment portfolios for high‑net‑worth individuals (including IRAs and trusts) and corporate accounts. It provides active management across U.S. equities and investment‑grade fixed income, including preferred shares, with custody and reporting provided by a third‑party custodian.

The firm’s process combines quantitative screens (targeting metrics such as EPS and sales growth, return on equity, beta and relative P/E) with fundamental analysis and strict position limits (no more than 25% to any industry and 10% to any single stock) and a disciplined sell policy tied to price targets or deteriorating fundamentals. Portfolios are growth‑oriented with notable emphasis on the information technology and medical sectors, continual market surveillance, use of cash balances to manage downside risk, and avoidance of derivatives and foreign securities.

Ascent is atypical among peers in that it does not serve non‑high‑net‑worth individual clients and operates as a very small, concentrated practice managing a handful of discretionary accounts with a single portfolio decision‑maker. The firm aggregates trades for client and principal accounts, does not accept third‑party compensation or soft‑dollar research, and moved from prior SEC registration to state registration, reflecting its independent operating practices.