ASN was founded by Tom Prescott and Dave Paulukaitis in 2010 as a sister firm to Mainstay Capital Markets Consultants, Inc., which provides regulatory and compliance consulting services to the financial services industry.
As part of its practice, Mainstay created Registered Investment Advisers (“RIAs”) and Broker/Dealers across the nation for individuals seeking the freedom that comes with operating their businesses. Many clients subsequently expressed a need for a comprehensive offering that could address their operational, supervisory, and compliance responsibilities while enabling them to run successful businesses.
Clearly, investment advisors needed a new option for independence; one that allows them to focus on what they do best—serve the needs of their clients.
That option is ASN.