DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Ascentis Asset Management, LLC
Latest filing Jul 21, 2026
First filing on the tape Jan 19, 2022 · 10 filings
SEC status approved since Feb 18, 2022
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Jul 21, 2026
Feb 28, 2023$363M then
HNW client RAUM$0 as of Jul 21, 2026
Feb 28, 2023$134M then
State-registered IARs (5.B.3)5 as of Jul 21, 2026
Feb 28, 20234 then
Employees (5.A)9 as of Jul 21, 2026
Feb 28, 202310 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 5 to 5offices 2 to 0
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -100%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Edward Leighton | Powell, Wy | Sep 16, 2022 | 20 y | 4 |
| Max Andrew Rockwell | Dallas, Tx | Aug 7, 2023 | 11 y | 3 |
| Douglas Michael WoodCertified Financial Planner | Dallas, Tx | Jul 12, 2024 | 10 y | 2 |
| Kimberly T AbmeyerCertified Financial Planner, Chartered Financial Analyst | Dallas, Tx | Feb 18, 2025 | 25 y | 6 |
| Catherine Gaynell Bailey | Dallas, Tx | Sep 7, 2025 | 35 y | 5 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount1 left over 36 months
Left, latest
- John David Pak to Vector3 Wealth ManagementAug 3, 2026 · Other
Joined, latest
- Douglas Michael Wood from Org Partners Asset ManagementNov 19, 2025 · Other
- Catherine Gaynell Bailey from Org PartnersSep 7, 2025 · RIA to RIA
- John David Pak from Ascentis Independent Advisors, LLCMar 5, 2025 · RIA to RIA
- David Edward Leighton from ArimatheaJan 31, 2025 · Other
- Max Andrew Rockwell from Wealthshield LLCAug 7, 2023 · Other
- Kyle Fairall from Golden State Asset ManagementMar 25, 2022 · RIA to RIA
- John Emile Nahas from Golden State Asset ManagementMar 25, 2022 · RIA to RIA
- Patrick Michael Jeffs-Catone from Golden State Asset ManagementMar 25, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Golden State Asset ManagementMar 14, 2022 · Santa Ana, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Patrick Jeffs-Catone · Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
- Robert Daniel Catone · Membercontrolsince 11/2018 · owns 25% to 50% of Golden State Asset Management, LLC
- Kyle Fairall · Membercontrolsince 11/2018 · owns 25% to 50% of Golden State Asset Management, LLC
- Michael Patrick Jeffs-Catone · Membercontrolsince 11/2018 · owns 25% to 50% of Golden State Asset Management, LLC
- Emile John Nahas · Membercontrolsince 11/2018 · owns 25% to 50% of Golden State Asset Management, LLC
Entity owners
- Golden State Asset Management, LLC · Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Golden State Equity Advisors, LLCinvestment advisernRAUM $405M
- Golden State Insurance Services, LLCreal estaten
- Golden State Mortgage Services LLCinvestment companyn
- Golden State Wealth Management, LLCinvestment advisernRAUM $2.2B
- Redwood Investment Group, Incinvestment advisernRAUM $230M
Advisers that list Ascentis Asset Management, LLC as a related person
- 322879 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 6 | 3 | 1 | ||
| South Coast Metro, Ca | 3 | 1 | 0 | ||
| Fort Bragg, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Bragg, CA3 employees
- , 2 employees
- Dallas, TX1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- RAUM down advisors stableCombination · filing Apr 1, 2026RAUM fell 25 percent or more while the advisor count stayed within 5 percent: assets left without people leaving (a large client or institutional mandate, a fee change, or a reporting change). RAUM $559,270,765 to $0, advisors 5 to 5, private clients 1880 to 0, offices 2 to 0 (2025-03-31 to 2026-04-01)peers: other advisers, under $100M (673)
- account count collapseChange between filings · filing Apr 1, 2026accounts (Item 5.F.2.f) moved from 3,654.0 to 0.0 (-100.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was -50.0% (4 comparable advisers, 0.0th percentile of changes)peers: other advisers, under $100M (4) · 0.0% percentile
- client count collapseChange between filings · filing Apr 1, 2026individual and HNW clients (Item 5.D) moved from 1,880.0 to 0.0 (-100.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +7.0% (11 comparable advisers, 0.0th percentile of changes)peers: other advisers, under $100M (11) · 0.0% percentile
- RAUM down 50 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $559,270,765 to $0 (-100.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was -29.0% (41 comparable advisers, 0.0th percentile of changes)peers: other advisers, under $100M (41) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 3,654 to 0Sep 4, 2025 to Apr 1, 2026
- Charity clients · 3 to 0Sep 4, 2025 to Apr 1, 2026
- HNW clients · 176 to 0Sep 4, 2025 to Apr 1, 2026
- Individual clients · 1,704 to 0Sep 4, 2025 to Apr 1, 2026
- Other offices · 1 to 0Sep 4, 2025 to Apr 1, 2026
- Discretionary RAUM · $559M to $0Sep 4, 2025 to Apr 1, 2026
- HNW RAUM · $256M to $0Sep 4, 2025 to Apr 1, 2026
- Individual RAUM · $301M to $0Sep 4, 2025 to Apr 1, 2026
- Pension RAUM · unset to 0.0Sep 4, 2025 to Apr 1, 2026
- RAUM · $559M to $0Sep 4, 2025 to Apr 1, 2026
- Wrap assets (manager) · 350092971.0 to unsetSep 4, 2025 to Apr 1, 2026
- Wrap assets (sponsor) · 0.0 to unsetSep 4, 2025 to Apr 1, 2026
- Advisory employees · 5 to 6Mar 31, 2025 to Aug 4, 2025
- Business name · GOLDEN STATE ASSET MANAGEMENT to ASCENTIS ASSET MANAGEMENT, LLCMar 31, 2025 to Aug 4, 2025
- Employees · 6 to 9Mar 31, 2025 to Aug 4, 2025
- HQ city · SOUTH COAST METRO to DALLASMar 31, 2025 to Aug 4, 2025
- HQ state · CA to TXMar 31, 2025 to Aug 4, 2025
- Legal name · GOLDEN STATE ASSET MANAGEMENT, LLC to ASCENTIS ASSET MANAGEMENT, LLCMar 31, 2025 to Aug 4, 2025
- Other offices · 2 to 1Mar 31, 2025 to Aug 4, 2025
- Wrap assets (manager) · $0 to $350MMar 31, 2025 to Aug 4, 2025
- Accounts · 1,589 to 3,654Jul 22, 2024 to Mar 31, 2025
- Charity clients · 2 to 3Jul 22, 2024 to Mar 31, 2025
- HNW clients · 166 to 176Jul 22, 2024 to Mar 31, 2025
- Individual clients · 1,421 to 1,704Jul 22, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 22, 2024 to Mar 31, 2025
- Other offices · 3 to 2Jul 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $515M to $559MJul 22, 2024 to Mar 31, 2025
- HNW RAUM · $251M to $256MJul 22, 2024 to Mar 31, 2025
- Individual RAUM · $263M to $301MJul 22, 2024 to Mar 31, 2025
- RAUM · $515M to $559MJul 22, 2024 to Mar 31, 2025
- Wrap assets (manager) · $176M to $0Jul 22, 2024 to Mar 31, 2025
- Accounts · 2,530 to 1,589Aug 7, 2023 to Mar 27, 2024
- BD registered reps · 4 to 5Aug 7, 2023 to Mar 27, 2024
- Charity clients · 1 to 2Aug 7, 2023 to Mar 27, 2024
- HNW clients · 137 to 166Aug 7, 2023 to Mar 27, 2024
- Individual clients · 1,773 to 1,421Aug 7, 2023 to Mar 27, 2024
- Pension plan clients · 1 to 0Aug 7, 2023 to Mar 27, 2024
- Employees · 10 to 6Aug 7, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 5Aug 7, 2023 to Mar 27, 2024
- Discretionary RAUM · $363M to $515MAug 7, 2023 to Mar 27, 2024
Signals
6 dated events
- John David Pak left Ascentis Asset Management, Llc for Vector3 Wealth Management (registered 2026-08-04)Aug 3, 2026 · Advisor changed firm · fact
- Ascentis Asset Management, Llc reported RAUM $0, down 100% from $559.3M (2025-09-04 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- Ascentis Asset Management, Llc reported RAUM $515.0M, up 42% from $362.6M (2023-08-07 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Golden State Asset Management's advisors moved to Ascentis Asset Management, LLC (Santa Ana, CA): 3 of 4 registered, on the same dayMar 14, 2022 · Firm absorbed (people side) · derived
- Golden State Asset Management reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 19, 2022 · Succession (Item 4) · fact
- Golden State Asset Management filed its initial SEC registration (Form ADV)Jan 19, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- am.ascentis.coreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 866-273-1563reportedpublic record, Form ADV, Jul 21, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026