ASN is an Atlanta-based Registered Investment Adviser (RIA) which registered with the U.S. Securities and Exchange Commission in 2010. As of January, 2019, ASN has 74 offices and serves clients in 35 states.
The Managing Members of ASN, Thomas C. Prescott, Jr., and David E. Paulukaitis collectively have over 65 years experience in the Financial Services Industry. ASN has developed a reputation for delivering high quality service to its investment professionals and their offices. We believe our role is to provide sound guidance, advice and services that enhance their businesses.
Our staff offers in-depth knowledge and expertise acquired during successful careers within the industry and its regulatory authorities. ASN encourages our staff to participate in continuing education conferences and regulatory outreach programs. Additionally, ASN maintains the most up-to-date information, materials and technology available. Our staff is the key to our success.
Beginning June 30, 2020, investment advisers and broker-dealers are required to provide retail investors with a disclosure form known as Form CRS. Form CRS is intended to be a simple, easy-to-read client relationship summary and discloses:
- The types of client relationships and services the firm offers
- The fees, costs, conflicts of interest and standard of conduct associated with those relationships and services
- Whether the firm and its financial professionals currently have a reportable legal or disciplinary history
- How to obtain additional information about the firm