RM
Richard Moon
ASCENDANT CAPITAL MANAGEMENT
Brea, CA 92821
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CRD#: 6025120
RM
Professional summary
Richard Moon, who also goes by Richard Hahn Moon, is a registered financial advisor currently at ASCENDANT CAPITAL MANAGEMENT located in Brea, California.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Richard has worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Hahn Moon
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. RICHARD HAHN MOON IS A LICENSED INSURANCE AGENT WITH OHIO NATIONAL, AND AN ACCOUNTANT. FROM TIME TO TIME, HE MAY OFFER CLIENTS ADVICE OR PRODUCTS FROM THOSE ACTIVITIES. CLIENTS SHOULD BE AWARE THAT THESE SERVICES MAY INVOLVE A CONFLICT OF INTEREST. ACM ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT AND CLIENTS ARE IN NO WAY REQUIRED TO UTILIZE THE SERVICES OF ANY REPRESENTATIVE OF ASCENDANT CAPITAL MANAGEMENT IN CONNECTION WITH SUCH INDIVIDUAL'S ACTIVITIES OUTSIDE OF ASCENDANT CAPITAL MANAGEMENT.
ALL MATERIAL CONFLICTS OF INTEREST UNDER CALIFORNIA CODE OF REGULATIONS SECTION 260.238(K) ARE DISCLOSED REGARDING THE INVESTMENT ADVISER, ITS REPRESENTATIVES OR ANY OF ITS EMPLOYEES, WHICH COULD BE REASONABLE EXPECTED TO IMPAIR THE RENDERING OF UNBIASED AND OBJECTIVE ADVICE.
2. Name of other business: Axxcess Wealth Management; Investment-related; 6005 Hidden Valley Road, Carlsbad CA 92011; Utilization of Axxcess' turnkey asset management provider services; Investment Adviser Representative; Start Date: 02/01/2020; Approximate hours per month: 4 hours; Number of Hours devoted to other business during securities trading hours: 0 hours; Axxcess Wealth Management is a turn-key asset management provider. Although I am registered with Axxcess, I do not have any direct business with them other than utilizing them as a 3rd party service provider to assist me with the administration of my services through Ascendant.
3. Name of other business: Matson Money; Investment-related; 18760 N. Pima Road, Scottsdale, Arizona, 85255; Utilization of Matson's turnkey asset management provider services; Investment Adviser Representative; Start Date: 08/01/2013; Approximate hours per month: 2 hours; Number of Hours devoted to other business during securities trading hours: 0 hours; Matson Money is a turn-key asset management provider. They provide a full service suite of services that I utilized in my practice. While utilizing Matson's service, I acted in the capacity of a solicitor for Matson. Although I still have some legacy clients on the Matson platform, I am non longer bringing on new clients to them.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Moon's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 8, 2015 - Present
ASCENDANT CAPITAL MANAGEMENT
Office #1: 210 W. Birch Street, Ste 208, Brea, CA 92821RIA
CRD#: 215513
Brea, CA
Past
March 6, 2019 - December 31, 2021
AXXCESS WEALTH MANAGEMENT, LLC
RIA
CRD#: 164081
Brea, CA
Past
October 23, 2013 - July 14, 2015
OAKTREE WEALTH GROUP INC.
RIA
CRD#: 167388
BREA, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/8/2015)
Current Firm
AC
ASCENDANT CAPITAL MANAGEMENT
ASCENDANT CAPITAL MANAGEMENT
CRD#: 215513 / SEC#:
California
Registered Investment Advisory firm - (6/5/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
210 W. Birch Street, Ste 208, Brea, CA 92821
Mailing Address
Phone number
(714) 501-7628
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 119 |
| AUM (Assets Under Management) | $ 56,452,346 |
Red Flags
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