Hedge Fund Database

GOLDSTEIN ADVISORS, LLC

Adviser information for GOLDSTEIN ADVISORS, LLC last updated from Form ADV on February 20th, 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 19
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 10
Licensed Agents of an Insurance Company 7
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,457 $782.2M
Non-Discretionary 0 $0
Total 3,457 $782.2M

Clients

Type Number RAUM
Individuals 825 $275.1M
HNW Individuals 208 $495.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $12.2M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-126612
SEC ERA File Number 801-126612
SEC CIK Numbers 1963807
SEC CRD Numbers 323125
Legal Entity Identifier None

Principal Office

1241 JOHN Q HAMMONS DR
SUITE 302
MADISON
WI
United States
Monday - Friday, 8:00 AM-5:30 PM
Tel: 608-831-3230, Fax: 608-831-3235

Websites

www.goldsteinadvisors.com www.linkedin.com/company/goldstein-advisors-financialservices/ www.facebook.com/goldsteinadvisors/

Chief Compliance Officer

ANDREW PETERS
CCO, PARTNER & FINANCIAL PLANNER
1241 JOHN Q HAMMONS DR
SUITE 302
MADISON
WI
United States
Tel: 608-831-3230
Fax: 608-831-3235
(Full email address available in API data)

Regulatory Contact

JON GOLDSTEIN
PARTNER & FINANCIAL PLANNER
1241 JOHN Q HAMMONS DR
SUITE 302
MADISON
WI
United States
Tel: 608-831-3230
Fax: 608-831-3235
(Full email address available in API data)

Industry Affiliates

AMERICAN FINANCIAL SOLUTIONS, INC. Insurance company or agency
ARDEN TRUST COMPANY Trust company
BEACON FINANCIAL GROUP Other investment adviser, including financial planners
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC. Other investment adviser, including financial planners
BERNARD R. WOLFE & ASSOCIATES, INC. Insurance company or agency
CAPITAL PLANNING ADVISORS LLC Other investment adviser, including financial planners
COMPASS CAPITAL MANAGEMENT, INC. Insurance company or agency
GROVE POINT ADVISORS, LLC Other investment adviser, including financial planners
GROVE POINT INVESTMENTS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
HEDEKER WEALTH LLC Other investment adviser, including financial planners
HICKORY ASSET MANAGEMENT, INC. Other investment adviser, including financial planners
HUGHES FINANCIAL SERVICES, LLC Other investment adviser, including financial planners
JOULE FINANCIAL Other investment adviser, including financial planners
KESTRA ADVISORY SERVICES, LLC Other investment adviser, including financial planners
KESTRA INSTITUTIONAL SERVICES, LLC Other investment adviser, including financial planners
KESTRA INSURANCE SERVICES, LLC Insurance company or agency
KESTRA INVESTMENT MANAGEMENT, LLC. Other investment adviser, including financial planners
KESTRA INVESTMENT SERVICES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
KESTRA PRIVATE WEALTH SERVICES, LLC Other investment adviser, including financial planners
OKLAHOMA FINANCIAL CENTER, INC. Insurance company or agency
PROVISE MANAGEMENT GROUP, LLC Other investment adviser, including financial planners
RITTER DANIHER FINANCIAL ADVISORY LLC Other investment adviser, including financial planners
VECTOR INSURANCE SERVICES, INC. Insurance company or agency
VECTOR WEALTH MANAGEMENT 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
KESTRA FINANCIAL, INC. Domestic Entity BLUESPRING WEALTH PARTNERS, LLC OWNER 04/2017 > 75%
GOLDSTEIN, JON, DAVID Individual – PARTNER & FINANCIAL PLANNER 08/2022 < 5%
Peters, Andrew, T Individual – CHIEF COMPLIANCE OFFICER, PARTNER & FINANCIAL PLANNER 08/2022 < 5%
BLUESPRING WEALTH PARTNERS, LLC Domestic Entity – OWNER 12/2022 > 75%
KESTRA ADVISOR SERVICES HOLDINGS C, INC. D/B/A KESTRA HOLDINGS Domestic Entity KESTRA FINANCIAL, INC. OWNER 08/2014 > 75%
KESTRA ADVISOR SERVICES HOLDINGS B, INC. Domestic Entity KESTRA ADVISOR SERVICES HOLDINGS C, INC. D/B/A KESTRA HOLDINGS OWNER 06/2014 > 75%
KESTRA ADVISOR SERVICES HOLDINGS A, INC. Domestic Entity KESTRA ADVISOR SERVICES HOLDINGS B, INC. OWNER 06/2014 > 75%
KINGFISHER HOLDING B, INC. Domestic Entity KESTRA ADVISOR SERVICES HOLDINGS A, INC. OWNER 06/2014 > 75%
KINGFISHER HOLDING A, INC. Domestic Entity KINGFISHER HOLDING B, INC. OWNER 06/2019 > 75%
KINGFISHER HOLDING L.P Domestic Entity KINGFISHER HOLDING A, INC. OWNER 06/2019 > 75%
KINGFISHER HOLDING, G.P., LLC Domestic Entity KINGFISHER HOLDING L.P GENERAL MANAGER 06/2019
WARBURG PINCUS FINANCIAL SECTOR, L.P. Domestic Entity KINGFISHER HOLDING L.P LIMITED PARTNER 06/2019 25-50%
OHCP VI ENZO AGGREGATOR, L.P. Domestic Entity KINGFISHER HOLDING L.P OWNER 02/2023 25-50%
OAK HILL CAPITLA PARTNERS VI (ONSHORE), L.P. Domestic Entity OHCP VI ENZO AGGREGATOR, L.P. OWNER 02/2023 25-50%
OAK HILL CAPITAL PARTNERSVI (TE 892), L.P. Domestic Entity OHCP VI ENZO AGGREGATOR, L.P. OWNER 02/2023 25-50%

No. Employees, Historic

20100202220232024202520 on 8/24/202220 on 10/4/202220 on 10/11/202220 on 10/18/202220 on 12/15/202217 on 1/20/202317 on 1/24/202317 on 3/9/202317 on 10/25/202319 on 2/1/202419 on 2/20/2024

RAUM, Historic

800M400M020222023202420250 on 8/24/20220 on 10/4/20220 on 10/11/20220 on 10/18/20220 on 12/15/2022634882604 on 1/20/2023634882604 on 1/24/2023634882604 on 3/9/2023634882604 on 10/25/2023782203578 on 2/1/2024782203578 on 2/20/2024

No. Clients, Historic

2,0001,000020222023202420250 on 8/24/20220 on 10/4/20220 on 10/11/20220 on 10/18/20220 on 12/15/2022969 on 1/20/2023969 on 1/24/2023969 on 3/9/2023969 on 10/25/20231034 on 2/1/20241034 on 2/20/2024

Holdings

From latest 13F, filed July 24th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 881K 5K –
ACCENTURE PLC IRELAND SHS CLASS A 428K 1K –
ADOBE INC COM 859K 2K –
AKAMAI TECHNOLOGIES INC NOTE 0.375% 9/0 13K – –
ALLIANT ENERGY CORP COM 949K 19K –
ALLIANT ENERGY CORP NOTE 3.875% 3/1 11K – –
ALPHABET INC CAP STK CL A 2M 10K –
ALPHABET INC CAP STK CL C 1M 6K –
AMAZON COM INC COM 2M 9K –
AMERICAN CENTY ETF TR DIVERSIFIED MU 18M 363K –
AMERICAN CENTY ETF TR INTL SMCP VLU 8M 118K –
AMERICAN CENTY ETF TR MULTISECTOR 567K 13K –
AMPHENOL CORP NEW CL A 415K 6K –
APPLE INC COM 7M 31K –
ARBOR REALTY TRUST INC NOTE 7.500% 8/0 18K – –
AUTOMATIC DATA PROCESSING IN COM 300K 1K –
BANK AMERICA CORP COM 271K 7K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 370K 909 –
BLACKROCK ETF TRUST US CARBON TRANS 210K 4K –
BLACKSTONE MORTGAGE TRUST IN NOTE 5.500% 3/1 17K – –
BLOCK INC NOTE 0.125% 3/0 13K – –
BOOKING HOLDINGS INC COM 349K 88 –
BROADCOM INC COM 424K 264 –
CHEVRON CORP NEW COM 321K 2K –
CHUBB LIMITED COM 612K 2K –
CHURCH & DWIGHT CO INC COM 4M 38K –
COSTCO WHSL CORP NEW COM 587K 691 –
CROWDSTRIKE HLDGS INC CL A 332K 866 –
DBX ETF TR XTRACKERS RUSSEL 1M 29K –
DBX ETF TR XTRACKERS S&P 607K 12K –
DBX ETF TR XTRACK MSCI EAFE 3M 82K –
DEXCOM INC NOTE 0.250%11/1 18K – –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 256K 7K –
DIMENSIONAL ETF TRUST US TARGETED VLU 275K 5K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 244K 4K –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 346K 9K –
DISNEY WALT CO COM 536K 5K –
DUKE ENERGY CORP NEW NOTE 4.125% 4/1 16K – –
ELI LILLY & CO COM 570K 630 –
ENVIRI CORP COM 134K 15K –
EOG RES INC COM 627K 5K –
EXACT SCIENCES CORP COM 272K 6K –
EXCHANGE TRADED CONCEPTS TRU EMQQ EM INTERN 510K 15K –
EXXON MOBIL CORP COM 312K 3K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 328K 6K –
FIRST TR VALUE LINE DIVID IN SHS 4M 92K –
FIRSTENERGY CORP NOTE 4.000% 5/0 13K – –
FISERV INC COM 282K 2K –
FLEXSHARES TR MORNSTAR USMKT 3M 14K –
FORD MTR CO DEL NOTE 3/1 17K – –
FRANKLIN TEMPLETON ETF TR INTL COR DIV TIL 14M 461K –
GOLDMAN SACHS ETF TR ACCES TREASURY 26M 255K –
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 66M 619K –
HALOZYME THERAPEUTICS INC NOTE 0.250% 3/0 13K – –
HARTFORD FDS EXCHANGE TRADED MUN OPORTUNITE 17M 446K –
HARTFORD FINL SVCS GROUP INC COM 302K 3K –
HOME DEPOT INC COM 849K 2K –
HONEYWELL INTL INC COM 267K 1K –
ICON PLC SHS 213K 681 –
IDEXX LABS INC COM 400K 820 –
INNOVATOR ETFS TRUST US EQTY PWR BUF 266K 7K –
INTERNATIONAL BUSINESS MACHS COM 202K 1K –
INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 12M 569K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 2M 8K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 221K 3K –
INVESCO EXCHANGE TRADED FD T LARGE CAP VALUE 244K 4K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 1M 28K –
INVESCO QQQ TR UNIT SER 1 4M 9K –
ISHARES INC CORE MSCI EMKT 733K 14K –
ISHARES TR CORE S&P US GWT 308K 2K –
ISHARES TR RUS 1000 GRW ETF 1M 3K –
ISHARES TR CORE S&P MCP ETF 5M 85K –
ISHARES TR RUS MID CAP ETF 1M 12K –
ISHARES TR S&P MC 400VL ETF 388K 3K –
ISHARES TR S&P 500 GRWT ETF 514K 6K –
ISHARES TR RUSSELL 2000 ETF 619K 3K –
ISHARES TR CORE S&P SCP ETF 2M 15K –
ISHARES TR CORE S&P500 ETF 2M 3K –
ISHARES TR CORE S&P TTL STK 102M 855K –
ISHARES TR MRGSTR SM CP ETF 2M 41K –
ISHARES TR MRGSTR MD CP ETF 3M 38K –
ISHARES TR MORNINGSTAR GRWT 796K 10K –
ISHARES TR EAFE GRWTH ETF 263K 3K –
ISHARES TR MSCI EAFE MIN VL 307K 4K –
ISHARES TR ESG MSCI USA ETF 278K 6K –
ISHARES TR EAFE SML CP ETF 4M 60K –
ISHARES TR MSCI USA VALUE 456K 4K –
ISHARES TR MSCI USA MMENTM 2M 10K –
ISHARES TR RUS TP200 GR ETF 304K 1K –
ISHARES TR MSCI KLD400 SOC 326K 3K –
ISHARES TR CORE MSCI TOTAL 12M 178K –
ISHARES TR CORE MSCI EAFE 1M 15K –
ISHARES TR ESG ADV TTL USD 411K 10K –
ISHARES TR MSCI USA MIN VOL 974K 12K –
ISHARES TR MSCI USA QLT FCT 427K 3K –
J P MORGAN EXCHANGE TRADED F DIVERSFED RTRN 22M 234K –
J P MORGAN EXCHANGE TRADED F DIVERSFD EQT ETF 9M 205K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 20M 360K –
J P MORGAN EXCHANGE TRADED F ACTIVE GROWTH 20M 263K –
JAZZ INVESTMENTS I LTD NOTE 1.500% 8/1 19K – –
JOHNSON & JOHNSON COM 654K 4K –
JOHNSON CTLS INTL PLC SHS 759K 11K –
JPMORGAN CHASE & CO. COM 846K 4K –
LANTHEUS HLDGS INC NOTE 2.625%12/1 14K – –
LATTICE STRATEGIES TR HARTFORD MLT ETF 10M 360K –
LITMAN GREGORY FDS TR IMGP DBI MANAGED 30M 1M –
LOCKHEED MARTIN CORP COM 809K 2K –
LOWES COS INC COM 235K 1K –
LUMENTUM HLDGS INC NOTE 0.500%12/1 13K – –
MANITOWOC CO INC COM NEW 188K 16K –
MARKEL GROUP INC COM 213K 135 –
MASTERCARD INCORPORATED CL A 660K 1K –
MCDONALDS CORP COM 463K 2K –
MCKESSON CORP COM 248K 425 –
MERCK & CO INC COM 428K 3K –
META PLATFORMS INC CL A 794K 2K –
MGE ENERGY INC COM 1M 14K –
MICROCHIP TECHNOLOGY INC. NOTE 0.125%11/1 17K – –
MICROSOFT CORP COM 4M 10K –
MONDELEZ INTL INC CL A 212K 3K –
MOTOROLA SOLUTIONS INC COM NEW 273K 707 –
NATERA INC COM 307K 3K –
NETFLIX INC COM 286K 424 –
NEW MTN FIN CORP NOTE 7.500%10/1 14K – –
NICE LTD NOTE 9/1 15K – –
NRG ENERGY INC DBCV 2.750% 6/0 29K – –
NVIDIA CORPORATION COM 3M 28K –
ON SEMICONDUCTOR CORP NOTE 0.500% 3/0 11K – –
PACER FDS TR US CASH COWS 100 27M 494K –
PALO ALTO NETWORKS INC COM 435K 1K –
PEPSICO INC COM 424K 3K –
PFIZER INC COM 313K 11K –
PGIM ETF TR PGIM ULTRA SH BD 1M 25K –
PHILIP MORRIS INTL INC COM 265K 3K –
PIMCO ETF TR ACTIVE BD ETF 20M 215K –
PIMCO ETF TR INTER MUN BD ACT 203K 4K –
PIMCO ETF TR ENHAN SHRT MA AC 258K 3K –
PPL CAP FDG INC NOTE 2.875% 3/1 14K – –
PROSPECT CAP CORP NOTE 6.375% 3/0 18K – –
QUANTA SVCS INC COM 220K 866 –
ROKU INC COM CL A 224K 4K –
RTX CORPORATION COM 791K 8K –
S&P GLOBAL INC COM 259K 581 –
SCHWAB STRATEGIC TR INTL EQTY ETF 349K 9K –
SCHWAB STRATEGIC TR US LCAP VA ETF 430K 6K –
SCHWAB STRATEGIC TR US LCAP GR ETF 711K 7K –
SCHWAB STRATEGIC TR US LRG CAP ETF 450K 7K –
SCHWAB STRATEGIC TR US MID-CAP ETF 302K 4K –
SELECT SECTOR SPDR TR SBI INT-UTILS 222K 3K –
SOUTHERN CO NOTE 3.875%12/1 14K – –
SOUTHWEST AIRLS CO NOTE 1.250% 5/0 15K – –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 14M 405K –
SPDR S&P 500 ETF TR TR UNIT 374K 687 –
SPDR SER TR PORTFOLI S&P1500 825K 12K –
SPDR SER TR S&P DIVID ETF 224K 2K –
SPDR SER TR PRTFLO S&P500 VL 247K 5K –
SPDR SER TR S&P 400 MDCP GRW 222K 3K –
SPDR SER TR PORTFOLIO S&P400 434K 8K –
SPDR SER TR MSCI USA STRTGIC 2M 11K –
STARWOOD PPTY TR INC NOTE 6.750% 7/1 13K – –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 241K 1K –
THE CIGNA GROUP COM 275K 833 –
THERMO FISHER SCIENTIFIC INC COM 345K 624 –
TJX COS INC NEW COM 320K 3K –
TWO HARBORS INVENTMENT CORPO NOTE 6.250% 1/1 17K – –
TYLER TEX INDPT SCH DIST NOTE 0.250% 3/1 15K – –
UNITEDHEALTH GROUP INC COM 658K 1K –
VANGUARD INDEX FDS VALUE ETF 461K 3K –
VANGUARD INDEX FDS TOTAL STK MKT 539K 2K –
VANGUARD INDEX FDS GROWTH ETF 2M 4K –
VANGUARD INDEX FDS LARGE CAP ETF 630K 3K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 310K 7K –
VANGUARD STAR FDS VG TL INTL STK F 294K 5K –
VANGUARD WORLD FD INF TECH ETF 203K 352 –
VANGUARD WORLD FD HEALTH CAR ETF 1M 4K –
VENTAS RLTY LTD PARTNERSHIP NOTE 3.750% 6/0 16K – –
VICTORY PORTFOLIOS II CORE INTERMEDIAT 555K 12K –
VICTORY PORTFOLIOS II CORE INTRMEDIATE 30M 1M –
VISA INC COM CL A 604K 2K –
WALMART INC COM 229K 3K –
WESTERN DIGITAL CORP. COM 295K 4K –
WISDOMTREE TR EM EX ST-OWNED 5M 176K –
XERIS BIOPHARMA HOLDINGS INC COM 57K 25K –
ZEBRA TECHNOLOGIES CORPORATI CL A 216K 700 –
ZOETIS INC CL A 499K 3K –