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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GOLDEN STATE ASSET MANAGEMENT

GOLDEN STATE ASSET MANAGEMENT, LLC, CRD 299649

SANTA ANA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5d34d8b7-dc0f-12c8-65b2-6424cbf2c16f

Data as of Mar 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 7
On other graphs: 0
Observed: Jan 3, 2019 to Mar 25, 2021
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $218MItem 5.F on the latest filing (2021-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $218M
Private client RAUM: $218MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,153
Individual clients: 751
High net worth clients: 233
SEC number: 801-114659
CRD: 299649
Filings on the tape: 9
First filed: Jan 3, 2019
Latest filed: Mar 25, 2021
Organised: Limited Liability Company, Wyoming

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CATONE, DANIEL, ROBERT	MANAGING MEMBER	C	yes	12/2018	Jan 3, 2019	Mar 25, 2021
FAIRALL, KYLE	Member	C	yes	12/2018	Jan 3, 2019	Mar 25, 2021
JEFFS-CATONE, PATRICK, MICHAEL	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	C	yes	12/2018	Jan 3, 2019	Mar 25, 2021
NAHAS, JOHN, EMILE	MANAGING MEMBER	C	yes	12/2018	Jan 3, 2019	Mar 25, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GOLDEN STATE WEALTH MANAGEMENT, LLC	n/a	Independent wealth	$2.2B	N	yes	n/a
GOLDEN STATE EQUITY PARTNERS, LLC	n/a	Former SEC adviser	$405M	N	yes	n/a
REDWOOD INVESTMENT GROUP, INC	n/a	Independent wealth	$230M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
FORT BRAGG	CA	United States	3	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 25, 2021	$218M	$218M	8	5	2	n/a	n/a
2019	Feb 28, 2020	$119M	$119M	4	4	2	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$218M	$119M	83.7%	n/a	n/a	8	4	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ASCENTIS ASSET MANAGEMENT, LLC	3	Mar 14, 2022	Mar 25, 2022	SANTA ANA, CA	Firm absorbed	RIA to RIA	75.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GOLDEN STATE EQUITY ADVISORS, LLC	2	Sep 20, 2022	Jul 10, 2020	SOUTH COAST METRO, CA	Team lift out	RIA to RIA	11.1%

Relationships

Affiliated with (6)

← GOLDEN STATE WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← REDWOOD INVESTMENT GROUP, INCRegistered adviserother investment adviser, common control
factForm ADV
← GOLDEN STATE EQUITY ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GOLDEN STATE WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ REDWOOD INVESTMENT GROUP, INCRegistered adviserother investment adviser, common control
factForm ADV
→ GOLDEN STATE EQUITY ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← NAHAS, JOHN, EMILEOwnerMANAGING MEMBER, ownership code C, individual
Jan 3, 2019 to presentfactForm ADV
← CATONE, DANIEL, ROBERTOwnerMANAGING MEMBER, ownership code C, individual
Jan 3, 2019 to presentfactForm ADV
← JEFFS-CATONE, PATRICK, MICHAELOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code C, individual
Jan 3, 2019 to presentfactForm ADV
← FAIRALL, KYLEOwnerMEMBER, ownership code C, individual
Jan 3, 2019 to presentfactForm ADV

Moved with (2)

→ ASCENTIS ASSET MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Mar 14, 2022 to Mar 25, 2022factForm ADV
← GOLDEN STATE EQUITY ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Sep 20, 2022 to Jul 10, 2020factForm ADV

Registered with (4)

← JOHN EMILE NAHASAdvisorregistration: previous registration
Jul 10, 2020 to Mar 14, 2022factForm ADV
← DANIEL ROBERT CATONEAdvisorregistration: previous registration
Jul 10, 2020 to Mar 14, 2022factForm ADV
← PATRICK MICHAEL JEFFS-CATONEAdvisorregistration: previous registration
Jul 10, 2020 to Mar 14, 2022factForm ADV
← KYLE FAIRALLAdvisorregistration: previous registration
Jul 10, 2020 to Mar 14, 2022factForm ADV

Dated events

Occurred
Sep 20, 2022
Team lift-out
2 advisors left Golden State Equity Advisors, LLC (South Coast Metro, CA) for Golden State Asset Management on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Mar 14, 2022
Firm absorbed
Golden State Asset Management's advisors moved to Ascentis Asset Management, LLC (Santa Ana, CA): 3 of 4 registered, on the same day
Form ADVobserved 3 days ago
3 advisors
Occurred
Mar 14, 2022
Advisor changed firm
Kyle Fairall left Golden State Asset Management for Ascentis Asset Management, Llc (registered 2022-03-25)
Form ADVobserved 4 days ago
Occurred
Mar 14, 2022
Advisor changed firm
John Emile Nahas left Golden State Asset Management for Ascentis Asset Management, Llc (registered 2022-03-25)
Form ADVobserved 4 days ago
Occurred
Mar 14, 2022
Advisor changed firm
Daniel Robert Catone left Golden State Asset Management for Golden State Wealth Management, Llc (registered 2021-12-06)
Form ADVobserved 4 days ago
Occurred
Mar 14, 2022
Advisor changed firm
Patrick Michael Jeffs-Catone left Golden State Asset Management for Ascentis Asset Management, Llc (registered 2022-03-25)
Form ADVobserved 4 days ago
Occurred
Jan 3, 2019
First Form ADV filing
Golden State Asset Management filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d34d8b7-dc0f-12c8-65b2-6424cbf2c16f
First observed: Jan 3, 2019
Last observed: Mar 25, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

GOLDEN STATE ASSET MANAGEMENT

GOLDEN STATE ASSET MANAGEMENT, LLC, CRD 299649

SANTA ANA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5d34d8b7-dc0f-12c8-65b2-6424cbf2c16f

Data as of Mar 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:59 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CATONE, DANIEL, ROBERT

MANAGING MEMBER

yes

12/2018

Jan 3, 2019

Mar 25, 2021

FAIRALL, KYLE

Member

yes

12/2018

Jan 3, 2019

Mar 25, 2021

JEFFS-CATONE, PATRICK, MICHAEL

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

12/2018

Jan 3, 2019

Mar 25, 2021

NAHAS, JOHN, EMILE

MANAGING MEMBER

yes

12/2018

Jan 3, 2019

Mar 25, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GOLDEN STATE WEALTH MANAGEMENT, LLC

n/a

Independent wealth

$2.2B

yes

n/a

GOLDEN STATE EQUITY PARTNERS, LLC

n/a

Former SEC adviser

$405M

yes

n/a

REDWOOD INVESTMENT GROUP, INC

n/a

Independent wealth

$230M

yes

n/a

City

State

Country

Employees

Also broker-dealer

FORT BRAGG

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 25, 2021

$218M

n/a

2019

Feb 28, 2020

$119M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$218M

$119M

83.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ASCENTIS ASSET MANAGEMENT, LLC

Mar 14, 2022

Mar 25, 2022

SANTA ANA, CA

Firm absorbed

RIA to RIA

75.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GOLDEN STATE EQUITY ADVISORS, LLC

Sep 20, 2022

Jul 10, 2020

SOUTH COAST METRO, CA

Team lift out

RIA to RIA

11.1%