Richard Moon

Current Employers

Employment History

• 04/2015 → Present
  Ascendant Capital Management
  Brea, CA

Previous Registrations

• 2019-03-06 → 2021-12-31
  Axxcess Wealth Management, Llc
  Brea, CA
• 2013-10-23 → 2015-07-14
  Oaktree Wealth Group Inc.
  Brea, CA

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-09-30

Other Names

• Richard Hahn Moon