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Email communication may contain computer viruses and may be intercepted, deleted or interfered with, with or without the knowledge of the sender or the intended recipient. Ascent Capital Advisors reserves the right, to the extent permitted by applicable laws, to intercept, monitor, and retain email communications sent to and from its systems.
Unless explicitly stated, email communication should not be construed as an offer to sell or solicitation of an offer to buy any securities, interests in a fund, or other financial instruments in any jurisdiction. None of the information provided should be considered as impartial investment advice or advice given in a fiduciary capacity. Performance information contained may be unaudited and estimated. Past performance is not necessarily indicative of future results.
Affiliates of Ascent Capital Advisors include:
Ascent Capital Advisors Limited, licensed with the Securities and Futures Commission of Hong Kong
Ascent Capital Advisors (America) LLC, a broker-dealer member of FINRA and SIPC of the USA
Alpha Ascent Ventures LLC
IMPORTANT PRIVATE PLACEMENT RISK DISCLOSURES
Ascent Capital Advisors and its affiliates conduct business that include private placement offerings and investment in private offerings. Private placements are unregistered offering that are NOT subject to the same regulatory requirements as registered offerings. Persons interested in investing in private placements should carefully consider the following:
Speculative Investment - High Degree of Risk. Private placements represent speculative investments and involve a high degree of risk. An Investor could lose all or a substantial portion of his/her investment. Investors must have the financial ability, sophistication/experience and willingness to bear the risks of an investment in a private placement. Any investment in private placements should be discretionary capital set aside strictly for speculative purposes.
Only Qualified Persons May Invest in Private Placements. An investment in a private placement is not suitable or desirable for all Investors. Qualified prospective purchasers should obtain from an Issuer such additional available information as they may reasonably request. Investments are suitable for, and will be offered only to, persons who have, directly or through qualified representatives, the ability to evaluate the merits and risks of an investment in a private placement and the ability to assume the economic risks involved in such investment.
Investments in Private Placements Will Be Illiquid - No Secondary Markets Exist. An investment in a private placement is illiquid and there may be significant restrictions on transfer of securities or interests. There are generally no secondary markets for private placement securities or interests and there can be no guarantee that any will ever develop.
Fees and Conflicts of Interest. In many transactions, placement fees are expected to be paid to Ascent Capital Advisors or its affiliates. Our principals may also be investors in the private placement. Instances may arise in which the interest of Ascent Capital Advisors (or its members or affiliates) may potentially or actually conflict with the interests of Investors. We operate rules and procedures designed to ensure that conflicts of interest are identified and appropriately managed.
Tax Risks. There are tax risks related to private placement investments that are complicated and may be difficult to address. You should consult a tax professional to understand the consequences of investing in private placements.
CONFIDENTIALITY AND PRIVACY POLICY
Ascent’s policy is to maintain the confidentiality of client order and transaction information. Please be assured that Ascent maintains policies and procedures on confidentiality of client information, as well as, operational technology to assist the protection of our clients’ personal information and related transaction activity. Gramm-Leach Bliley Act and SEC regulation S-P and regulation S-AM, requires Ascent to disclose its privacy policy. Further details may be found here.