{"url":"https://nivawealth.com/firms/goldberg-lindsay-and-co-141029","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/141029","regulatoryAum":11909436598,"crd":"141029","secFileNumber":"801-67008","legalName":"Goldberg Lindsay & Co. LLC","displayName":"Goldberg Lindsay & Co.","website":"http://www.lindsaygoldbergllc.com","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"630 Fifth Avenue, 30th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10111"},"tradeNames":["Lindsay Goldberg"],"registration":{"secApproved":"21 July 2006","noticeFilings":0,"latestNoticeFiling":null,"inventory":{"sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_10_15_2026.xml.gz","sourceAsOf":"2026-10-15","retrievedAt":"2026-10-16T03:16:53.781384+00:00","noticeFilings":[],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"2006-07-21"}]}},"wealthAumPerClient":null,"staff":{"employees":55,"advisory":28,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":11909436598,"discretionaryAccounts":33,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":6,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":17,"regulatoryAum":11909436598}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"not_processed","checkedAt":"2026-10-16T07:26:26.603459+00:00","documents":[]},"custodians":[],"custodyNote":"Goldberg Lindsay & Co. has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Alan Goldberg","title":"Co-Chief Executive Officer","crd":"1132982"},{"name":"James Triedman","title":"Co-Chief Executive Officer","crd":"5179889"},{"name":"Ephraim Mernick","title":"Chief Operating Officer","crd":"5945880"},{"name":"James Pickel JR","title":"Chief Compliance Officer","crd":"7285669"},{"name":"Michael Dees","title":"Managing Partner","crd":"2774294"},{"name":"Robert Lindsay","title":"Co-Founder and Chairman Emeritus","crd":"1802687"}],"ownership":[{"label":"GL MH LP","detail":"Member in the 75% or more ownership band and a control person, since July 2026."},{"label":"Alan Goldberg","detail":"Indirect owner: a manager of Msda LLC in the 25% to 50% band and a control person, since February 2008. Also trustee of The Aeg-II Trust and a control person, since August 2024.","parent":"Msda LLC"},{"label":"The Aeg-II Trust","detail":"Indirect owner: a member of Msda LLC in the 75% or more band and a control person, since August 2024.","parent":"Msda LLC"},{"label":"Msda LLC","detail":"Indirect owner: a class a member of GL MH Feeder LLC in the 50% to 75% band and a control person, since July 2026.","parent":"GL MH Feeder LLC"},{"label":"GL MH Feeder LLC","detail":"Indirect owner: a limited partner of GL MH LP in the 75% or more band and a control person, since July 2026.","parent":"GL MH LP"},{"label":"Goldberg Lindsay GP LLC","detail":"Indirect owner: general partner of GL MH LP and a control person, since May 2026.","parent":"GL MH LP"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"630 Fifth Avenue, 30th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-651-1100","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"0","assetMix":[],"privateFunds":33},"sources":{"adv1FilingDate":"5 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/141029/PDF/141029.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Goldberg Lindsay & Co. have?","answer":"Goldberg Lindsay & Co. has 17 clients and manages $11.9 billion for them, as of August 2026. They include 17 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Goldberg Lindsay & Co. offer?","answer":"Goldberg Lindsay & Co. provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Goldberg Lindsay & Co. have?","answer":"Goldberg Lindsay & Co. has 0 investment adviser representatives registered with state securities authorities, out of 55 employees, and 28 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Goldberg Lindsay & Co.?","answer":"Goldberg Lindsay & Co. is owned through a chain of holding companies by Alan Goldberg and the Aeg-II Trust. Its direct owner is GL MH LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Goldberg Lindsay & Co. get paid?","answer":"Goldberg Lindsay & Co. is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}