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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

ASCENTIS ASSET MANAGEMENT, LLC

CRD 318126

DALLAS, TX

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:ae3e6f3b-faaf-b338-3eaa-c32f8f7c6008

Data as of Jul 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 6
On other graphs: 0
Observed: Jan 19, 2022 to Jul 21, 2026
10 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-07-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 10
Employees: 9
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-123264
CRD: 318126
Filings on the tape: 10
First filed: Jan 19, 2022
Latest filed: Jul 21, 2026
Organised: Limited Liability Company, DE
Website: am.ascentis.co

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID EDWARD LEIGHTON	n/a	Powell, WY \| DALLAS, TX	4	20	4	no
Max Andrew Rockwell	n/a	Dallas, TX \| DALLAS, TX	3	11	3	no
Douglas Michael Wood	Certified Financial Planner	DALLAS, TX	2	10	2	no
KIMBERLY T ABMEYER	Certified Financial Planner\|Chartered Financial Analyst	DALLAS, TX	1	25	6	yes
CATHERINE GAYNELL BAILEY	n/a	Dallas, TX \| DALLAS, TX	1	35	5	no

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	Member	C	yes	11/2018	Jan 19, 2022	Jul 22, 2024
FAIRALL, KYLE	Member	C	yes	11/2018	Jan 19, 2022	Jul 22, 2024
GOLDEN STATE ASSET MANAGEMENT, LLC	Manager	E	yes	12/2021	Jan 19, 2022	Jul 22, 2024
JEFFS-CATONE, PATRICK, MICHAEL	Member	C	yes	11/2018	Jan 19, 2022	Jul 22, 2024
JEFFS-CATONE, PATRICK, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	12/2021	Jan 19, 2022	Jul 22, 2024
NAHAS, JOHN, EMILE	Member	C	yes	11/2018	Jan 19, 2022	Jul 22, 2024

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 ADVISORS, LLC	n/a	Former SEC adviser	$405M	N	yes	n/a
REDWOOD INVESTMENT GROUP, INC	n/a	Independent wealth	$230M	N	yes	n/a
GOLDEN STATE INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
GOLDEN STATE MORTGAGE SERVICES LLC	n/a	n/a	n/a	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	yes
n/a	n/a	n/a	2	yes
Dallas	TX	United States	1	yes

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
2025	Apr 1, 2026	$0	$0	9	6	0	n/a	n/a
2024	Mar 31, 2025	$559M	$559M	6	5	2	n/a	n/a
2023	Mar 27, 2024	$515M	$515M	6	5	3	n/a	n/a
2022	Feb 28, 2023	$363M	$363M	10	5	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	10.0%	0	1	0	4	1

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
2025	$0	$559M	-100.0%	$363M	n/a	9	6	0	2

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 ASSET MANAGEMENT	3	Mar 14, 2022	Mar 25, 2022	SANTA ANA, CA	Firm absorbed	RIA to RIA	75.0%

Relationships

Affiliated with (4)

→ 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
← ASCENTIS INDEPENDENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (11)

← Douglas Michael WoodAdvisorregistration: current employment
Nov 19, 2025 to presentfactForm ADV
← KIMBERLY T ABMEYERAdvisorregistration: current employment
Oct 24, 2025 to presentfactForm ADV
← Matthew Thomas CatoneAdvisorregistration: current employment
Sep 25, 2025 to presentfactForm ADV
← CATHERINE GAYNELL BAILEYAdvisorregistration: current employment
Sep 7, 2025 to presentfactForm ADV
← DAVID EDWARD LEIGHTONAdvisorregistration: current employment
Jan 31, 2025 to presentfactForm ADV
← DANIEL ROBERT CATONEAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Max Andrew RockwellAdvisorregistration: current employment
Aug 7, 2023 to presentfactForm ADV
← JOHN EMILE NAHASAdvisorregistration: current employment
Mar 25, 2022 to presentfactForm ADV
← PATRICK MICHAEL JEFFS-CATONEAdvisorregistration: current employment
Mar 25, 2022 to presentfactForm ADV
← KYLE FAIRALLAdvisorregistration: current employment
Mar 25, 2022 to presentfactForm ADV
← JOHN DAVID PAKAdvisorregistration: previous registration
Mar 5, 2025 to Aug 3, 2026factForm ADV

Controls (5)

← NAHAS, JOHN, EMILEOwnerMEMBER, ownership code C, individual
Jan 19, 2022 to Jul 22, 2024factForm ADV
← CATONE, DANIEL, ROBERTOwnerMEMBER, ownership code C, individual
Jan 19, 2022 to Jul 22, 2024factForm ADV
← JEFFS-CATONE, PATRICK, MICHAELOwnerMEMBER, ownership code C, individual
Jan 19, 2022 to Jul 22, 2024factForm ADV
← FAIRALL, KYLEOwnerMEMBER, ownership code C, individual
Jan 19, 2022 to Jul 22, 2024factForm ADV
← GOLDEN STATE ASSET MANAGEMENT, LLCOwnerMANAGER, ownership code E, domestic entity
Jan 19, 2022 to Jul 22, 2024factForm ADV

Moved with (1)

← GOLDEN STATE ASSET MANAGEMENTRegistered adviser3 advisors, firm absorbed, same day
Mar 14, 2022 to Mar 25, 2022factForm ADV

Dated events

Occurred
Aug 3, 2026
Advisor changed firm
John David Pak left Ascentis Asset Management, Llc for Vector3 Wealth Management (registered 2026-08-04)
Form ADVobserved 4 days ago
Occurred
Apr 1, 2026
Regulatory AUM changed
Ascentis Asset Management, Llc reported RAUM $0, down 100% from $559.3M (2025-09-04 to 2026-04-01)
Form ADVobserved 4 days ago
$-559M
Occurred
Mar 27, 2024
Regulatory AUM changed
Ascentis Asset Management, Llc reported RAUM $515.0M, up 42% from $362.6M (2023-08-07 to 2024-03-27)
Form ADVobserved 4 days ago
$152M
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
Jan 19, 2022
Succession filed (Item 4)
Golden State Asset Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Jan 19, 2022
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:ae3e6f3b-faaf-b338-3eaa-c32f8f7c6008
First observed: Jan 19, 2022
Last observed: Jul 21, 2026 2 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.

ASCENTIS ASSET MANAGEMENT, LLC

CRD 318126

DALLAS, TX

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:ae3e6f3b-faaf-b338-3eaa-c32f8f7c6008

Data as of Jul 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID EDWARD LEIGHTON

n/a

Powell, WY | DALLAS, TX

Max Andrew Rockwell

n/a

Dallas, TX | DALLAS, TX

Douglas Michael Wood

Certified Financial Planner

DALLAS, TX

KIMBERLY T ABMEYER

Certified Financial Planner|Chartered Financial Analyst

DALLAS, TX

yes

CATHERINE GAYNELL BAILEY

n/a

Dallas, TX | DALLAS, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CATONE, DANIEL, ROBERT

Member

yes

11/2018

Jan 19, 2022

Jul 22, 2024

FAIRALL, KYLE

Member

yes

11/2018

Jan 19, 2022

Jul 22, 2024

GOLDEN STATE ASSET MANAGEMENT, LLC

Manager

yes

12/2021

Jan 19, 2022

Jul 22, 2024

JEFFS-CATONE, PATRICK, MICHAEL

Member

yes

11/2018

Jan 19, 2022

Jul 22, 2024

JEFFS-CATONE, PATRICK, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

12/2021

Jan 19, 2022

Jul 22, 2024

NAHAS, JOHN, EMILE

Member

yes

11/2018

Jan 19, 2022

Jul 22, 2024

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 ADVISORS, LLC

n/a

Former SEC adviser

$405M

yes

n/a

REDWOOD INVESTMENT GROUP, INC

n/a

Independent wealth

$230M

yes

n/a

GOLDEN STATE INSURANCE SERVICES, LLC

n/a

yes

n/a

GOLDEN STATE MORTGAGE SERVICES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

FORT BRAGG

United States

yes

n/a

yes

Dallas

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 1, 2026

n/a

2024

Mar 31, 2025

$559M

n/a

2023

Mar 27, 2024

$515M

n/a

2022

Feb 28, 2023

$363M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

10.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$559M

-100.0%

$363M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GOLDEN STATE ASSET MANAGEMENT

Mar 14, 2022

Mar 25, 2022

SANTA ANA, CA

Firm absorbed

RIA to RIA

75.0%