AdvisorCensus / Financial advisors / Goldstein Capital Corp.
Goldstein Capital Corp. is an SEC-registered investment advisory firm, registered since 2012, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 18, 2026.
Quick answers
From the filingHow is Goldstein Capital Corp. compensated?
On its Form ADV (Item 5.E, October 2026), Goldstein Capital Corp. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.
Is Goldstein Capital Corp. registered with the SEC or a state?
Goldstein Capital Corp. is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 126146.
How much does Goldstein Capital Corp. manage?
Goldstein Capital Corp. reports $279,627,436 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (100% discretionary).
How have Goldstein Capital Corp.'s assets and staff changed since 2021?
In the Form ADV data for Goldstein Capital Corp.: Regulatory assets under management: $264,979,179 in the October 2021 data and $279,627,436 in the October 2026 data, up 6%. Total employees: 3 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Goldstein Capital Corp. serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (20); pooled investment vehicles (other than investment companies and business development companies) (3).
Which custodians does Goldstein Capital Corp. use?
Goldstein Capital Corp.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and U.S. Bank as custodians holding 10% or more of its separately managed account assets.
Does Goldstein Capital Corp. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/126146
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Performance-based fees
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies. See the firm's brochure (dated March 18, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$279,627,436 as of October 2026, filing dated March 18, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2012 (14 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $279,627,436 | 2 | March 18, 2026 |
| October 2025 | $307,967,174 | 2 | March 18, 2025 |
| October 2024 | $333,726,136 | 2 | March 21, 2024 |
| October 2023 | $263,625,131 | 3 | March 24, 2023 |
| October 2022 | $230,919,639 | 3 | March 24, 2022 |
| October 2021 | $264,979,179 | 3 | March 10, 2021 |
Regulatory assets under management: $264,979,179 in the October 2021 data and $279,627,436 in the October 2026 data, up 6%.
Total employees: 3 in October 2021 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Goldstein Capital Corp. (CRD 126146): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/goldstein-capital-corp-126146