Max Rockwell is a registered investment advisor at Ascentis Asset Management, LLC, based in Dallas, TX, with 11 years of industry experience. Max operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Ascentis Wealth Management provides sub-advisory investment management and portfolio modeling services to other investment advisors. Because Ascentis operates entirely as a business-to-business sub-advisor and does not directly manage accounts for individual retail investors, it does not charge investment management fees directly to individual clients. Instead, Ascentis receives a share of the fees collected by the primary investment advisor from the underlying clients. These fees will not exceed 0.60% annually and are generally negotiable.
Location
Dallas, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Max oversees investments made in wealth management related businesses for Golden State Asset Management, LLC, dedicating full-time hours to this role. He is also a partner overseeing wealth management investments for CCDML Ventures Group LLC, spending about 10-20% of his time on this activity.
Employment History
Current Registrations
Ascentis Asset Management, LLC
Previous Registrations
Org Partners Asset Management
Wealthshield LLC
The Ayco Company,l.p.
Mercer Allied Company, L.P.Broker
Fidelity Brokerage Services LLCBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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