ABOUT ASN
Built on experience.
Driven by independence.
ASN was created after its founders spent decades helping advisory businesses solve their most complex challenges. Since then, we’ve never stopped enhancing our model, providing advisors with everything they need to move forward, independently, on their own terms.
WHO WE ARE
Supporting independent advisory businesses nationwide.
ASN provides independent financial advisors with the infrastructure, resources and personalized support needed to run and grow their businesses. Through an integrated platform spanning operations, compliance, marketing, billing, technology, and investment and business solutions, ASN helps advisors simplify complexity, operate more efficiently and deliver greater value to their clients — while maintaining the independence and brand they’ve built.
A National Network
As of 7/1/25
OUR HISTORY
Decades of insight. One purpose-built model.
Before ASN officially launched in 2010, its founders spent decades building, advising, and reengineering organizations across the financial services industry—including broker-dealers, investment advisory firms, clearing firms, custodians, regulators, exchanges, and other market participants.
That firsthand experience provided a clear view of how independent advisory businesses were structured, supported, and too often constrained. It shaped a different kind of platform—one designed around the practical needs of advisors.
ASN brought that breadth of insight together into a single operating model, giving independent advisory businesses access to experienced teams, proven resources, and meaningful scale while preserving the ownership, identity, and control that make each firm distinct.
OUR LEADERSHIP
Leadership grounded in industry experience.
ASN’s leaders bring experience across advisory businesses, compliance, regulation, operations, consulting and business growth. Together, they help shape the strategy, infrastructure and relationships behind the platform.
Thomas C. Prescott, Jr.
Managing Member & CEO
Advisors shouldn’t have to choose.
A MESSAGE FROM OUR CO-FOUNDER
ASN was founded on a straightforward belief: independent advisors should be able to retain control of their businesses while accessing the infrastructure required to operate and grow.
That conviction was informed by decades of experience across financial services, working with advisory firms, financial institutions, regulators, and the operating infrastructure behind them.
In 2010, we built ASN around that principle.
Cindy Halpern
Chief Operating Officer & Controller
Cindy is ASN’s Chief Operating Officer and Controller and has been with the firm since its founding in 2010.
She oversees the firm’s day-to-day operations, works directly with advisors, and leads advisor transitions as well as ASN’s financial and operational teams.
Cindy brings more than 25 years of experience in financial operations, with deep technical expertise and significant leadership experience across finance and operational management.
Laura Tedball
Chief Compliance Officer
Laura serves as Chief Compliance Officer at ASN and brings more than 22 years of financial services compliance and operations experience.
She began her career managing broker-dealer and investment adviser registrations for multiple firms before advancing to Chief Operating Officer. Laura later served as Chief Compliance Officer for a mid-sized broker-dealer and RIA before joining Mainstay Capital Markets Consultants, Inc. and subsequently ASN.
Her background spans regulatory registrations, operational leadership, and compliance oversight.
Trey Prescott
Director of Business Development
Trey Prescott leads ASN’s business development strategy, working with advisors seeking greater control over how they serve clients and build their firms. During more than 16 years at ASN, he has worked across transition, operations and sales, giving him a firsthand understanding of what it takes to launch and grow an independent advisory business.
Today, Trey oversees sales, marketing and relationship management. He helps advisors evaluate their options and choose a path that supports their clients, brand and long-term goals.
Trey’s perspective on advisor independence and the evolving RIA landscape has been featured in Barron’s, InvestmentNews and WealthManagement.com. He is a graduate of Auburn University’s Harbert College of Business.
Steve Peters, CIMA®
Senior Business Development Officer
Steve brings more than 19 years of experience with Fidelity Investments to his role at ASN, where he draws on deep insight into the RIA space gained from working with advisors in many capacities throughout his career. Steve has helped hundreds of advisors navigate the due diligence proces of exploring the next step for their wealth advisory businesses to find the best long-term solution for them and their clients.
Steve understands the complexity involved in building and maintaining a successful practice, along with extensive knowledge of the broader ecosystem of partners and firms that support independent advisors.
Steve holds an MBA from Bryant University and a Master of Science in Investment Management from Boston University, and is a Certified Investment Management Analyst (CIMA®). During his career at Fidelity, he was a three-time President's Circle winner.
Martine Gillespie
Director of Operations
With more than 35 years in financial services, including over 25 in leadership roles, Martine brings deep expertise in operations, client service, and business support to ASN. She joined ASN in 2014 as an Operations Specialist, supporting independent advisor firms through the operational aspects of transitioning to ASN. She has since developed a thorough understanding of the operational, custodial, technology, and administrative needs of growing advisory practices.
As Director of Operations, Martine oversees ASN's operations team, bridging the gap between advisors and the functions supporting their businesses: account administration, transfers, cashiering, documentation, custodial relationships, and workflow management. Known for her hands-on leadership and commitment to client service, she is passionate about building strong teams and helping advisor firms navigate the operational side of their businesses.