Max A. Rockwell

ASCENTIS ASSET MANAGEMENT

Dallas, TX

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CRD#: 6390435

Professional summary

Max Andrew Rockwell is a registered financial advisor currently at ASCENTIS ASSET MANAGEMENT, LLC located in Dallas, Texas.

Max is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Max has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Golden State Asset Management, LLC Investment Related, 201 E. Sandpointe Ave Ste 460, South Coast Metro CA 92707 40 hours/week. Oversee investments made in wealth management related businesses. CCDML Ventures Group LLC, Investment Related, 101 N. Tryon St. Suite 112, Charlotte, NC 28246, Wealth Management Investments, Partner, Partner, 25 hours/month. Partner overseeing investments made in wealth management related businesses.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Andrew Rockwell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 7, 2023 - Present

ASCENTIS ASSET MANAGEMENT, LLC

RIA

CRD#: 318126

Dallas, TX

Past

December 6, 2024 - August 25, 2025

ORG PARTNERS ASSET MANAGEMENT

RIA

CRD#: 330922

DALLAS, TX

Past

January 18, 2019 - May 31, 2025

WEALTHSHIELD LLC

RIA

CRD#: 288875

CARY, NC

Past

February 21, 2015 - August 27, 2018

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

DALLAS, TX

Past

February 21, 2015 - August 27, 2018

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

DALLAS, TX

Past

October 31, 2014 - December 10, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASCENTIS ASSET MANAGEMENT, LLC

CRD#: 318126 / SEC#: 801-123264

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/7/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/23/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/31/2014

General Securities Representative Examination

Current Firm

ASCENTIS ASSET MANAGEMENT, LLC

CRD#: 318126 / SEC#: 801-123264

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

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Contact information

Main Address

5001 Spring Valley Rd Suite 810w, Dallas, TX 75244

Mailing Address

Phone number

(866) 273-1563

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASCENTIS ASSET MANAGEMENT, LLC (8/4/2025)

Regulatory assets under management

Total Number of Accounts	3,654
AUM (Assets Under Management)	$ 559,270,765

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Max A. Rockwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Andrew Rockwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORG PARTNERS ASSET MANAGEMENT

WEALTHSHIELD LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ASCENTIS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/23/2014

SIE

Date: 8/27/2018

Series 7

Date: 10/31/2014

Current Firm

ASCENTIS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASCENTIS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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