GOLDEN STATE ASSET MANAGEMENT
GOLDEN STATE ASSET MANAGEMENT, LLC Legal Name
Adviser information for GOLDEN STATE ASSET MANAGEMENT last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,589 | $515.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1,589 | $515.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,421 | $263.0M |
| HNW Individuals | 166 | $250.5M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $1.4M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 175.8M |
| Both for Same | 175.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| STELLA NOVA | GOLDEN STATE ASSET MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-123264 |
|---|---|
| SEC ERA File Number | 801-123264 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318126 |
| Legal Entity Identifier | None |
Principal Office
201 E SANDPOINTE AVE, SUITE 460SOUTH COAST METRO
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 866-273-1563, Fax: 949-428-4290
Chief Compliance Officer
PATRICK JEFFS-CATONE
201 E. SANDPOINTE AVE
SANTA ANA
CA
United States
Tel:
866-273-1563
P*************@******************M
(Full email address available in API data)
Regulatory Contact
DANIEL CATONE
CEO
201 E. SANDPOINTE AVE
SANTA ANA
CA
United States
Tel:
7078137070
D************@******************M
(Full email address available in API data)
Industry Affiliates
| GOLDEN STATE EQUITY ADVISORS, LLC | Other investment adviser, including financial planners |
| GOLDEN STATE INSURANCE SERVICES, LLC | Insurance company or agency |
| GOLDEN STATE MORTGAGE SERVICES LLC | Real estate broker or dealer |
| GOLDEN STATE WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
| REDWOOD INVESTMENT GROUP, INC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NAHAS, JOHN, EMILE | Individual | GOLDEN STATE ASSET MANAGEMENT, LLC | MEMBER | 11/2018 | 25-50% |
| GOLDEN STATE ASSET MANAGEMENT, LLC | Domestic Entity | – | MANAGER | 12/2021 | > 75% |
| CATONE, DANIEL, ROBERT | Individual | GOLDEN STATE ASSET MANAGEMENT, LLC | MEMBER | 11/2018 | 25-50% |
| JEFFS-CATONE, PATRICK, MICHAEL | Individual | GOLDEN STATE ASSET MANAGEMENT, LLC | MEMBER | 11/2018 | 25-50% |
| FAIRALL, KYLE | Individual | GOLDEN STATE ASSET MANAGEMENT, LLC | MEMBER | 11/2018 | 25-50% |
| JEFFS-CATONE, PATRICK, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2021 | < 5% |