# 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.

- CRD: 126146
- Filed as: GOLDSTEIN CAPITAL CORP.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: March 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/126146
- AdvisorCensus page: https://advisorcensus.com/firm/goldstein-capital-corp-126146

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- U.S. Bank

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.

### Regulatory assets under management (Item 5.F)
- Total: $279,627,436
- Discretionary: $279,627,436
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $1,391,874 |
| High net worth individuals | 20 | $52,494,486 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $211,874,232 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | Fewer than 5 | $6,724,270 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | Fewer than 5 | $4,398,968 |
| Insurance companies | Fewer than 5 | $38,496 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $2,705,110 |
| Other | 0 | Not reported |

### 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

### Firm details
- Registered since: 2012 (14 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- goldsteincapital.com
- LinkedIn @goldstein-capital-corp

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $264,979,179 | 3 | March 10, 2021 |
| October 2022 | $230,919,639 | 3 | March 24, 2022 |
| October 2023 | $263,625,131 | 3 | March 24, 2023 |
| October 2024 | $333,726,136 | 2 | March 21, 2024 |
| October 2025 | $307,967,174 | 2 | March 18, 2025 |
| October 2026 | $279,627,436 | 2 | March 18, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Goldstein Capital Corp. (CRD 126146): Form ADV filing data as of October 2026.