{"url":"https://nivawealth.com/firms/goldman-sachs-and-co-361","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/361","regulatoryAum":133644228926,"crd":"361","secFileNumber":"801-16048","legalName":"Goldman Sachs & Co. LLC","displayName":"Goldman Sachs & Co.","website":"http://www.goldmansachs.com","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/361/2211d2fb4b84d7ba-r1.webp","tone":"light","width":478,"height":200,"sourceUrl":"https://www.goldmansachs.com/","sourceLabel":"Goldman Sachs & Co. LLC, website"},"linkedinUrl":"https://www.linkedin.com/company/goldman-sachs","xUrl":"http://x.com/goldmansachs","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"200 West Street","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10282"},"tradeNames":[],"registration":{"secApproved":"13 May 1981","noticeFilings":53,"latestNoticeFiling":"16 January 2018","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":[{"status":"Notice Filed","jurisdiction":"Alabama","effectiveDate":"1992-10-28"},{"status":"Notice Filed","jurisdiction":"Alaska","effectiveDate":"1997-11-21"},{"status":"Notice Filed","jurisdiction":"Arizona","effectiveDate":"1997-11-26"},{"status":"Notice Filed","jurisdiction":"Arkansas","effectiveDate":"1988-10-19"},{"status":"Notice Filed","jurisdiction":"California","effectiveDate":"1997-07-08"},{"status":"Notice Filed","jurisdiction":"Colorado","effectiveDate":"2001-04-30"},{"status":"Notice Filed","jurisdiction":"Connecticut","effectiveDate":"1997-09-26"},{"status":"Notice Filed","jurisdiction":"Delaware","effectiveDate":"2011-01-24"},{"status":"Notice Filed","jurisdiction":"District of Columbia","effectiveDate":"2001-04-30"},{"status":"Notice Filed","jurisdiction":"Florida","effectiveDate":"1993-06-14"},{"status":"Notice Filed","jurisdiction":"Georgia","effectiveDate":"2003-02-27"},{"status":"Notice Filed","jurisdiction":"Hawaii","effectiveDate":"1997-11-14"},{"status":"Notice Filed","jurisdiction":"Idaho","effectiveDate":"1997-11-14"},{"status":"Notice Filed","jurisdiction":"Illinois","effectiveDate":"1988-12-12"},{"status":"Notice Filed","jurisdiction":"Indiana","effectiveDate":"1988-09-06"},{"status":"Notice Filed","jurisdiction":"Iowa","effectiveDate":"1999-01-01"},{"status":"Notice Filed","jurisdiction":"Kansas","effectiveDate":"1997-11-18"},{"status":"Notice Filed","jurisdiction":"Kentucky","effectiveDate":"1997-11-24"},{"status":"Notice Filed","jurisdiction":"Louisiana","effectiveDate":"2001-10-08"},{"status":"Notice Filed","jurisdiction":"Maine","effectiveDate":"1989-01-20"},{"status":"Notice Filed","jurisdiction":"Maryland","effectiveDate":"1992-01-01"},{"status":"Notice Filed","jurisdiction":"Massachusetts","effectiveDate":"2001-04-30"},{"status":"Notice Filed","jurisdiction":"Michigan","effectiveDate":"2001-04-30"},{"status":"Notice Filed","jurisdiction":"Minnesota","effectiveDate":"1998-01-02"},{"status":"Notice Filed","jurisdiction":"Mississippi","effectiveDate":"1997-11-17"},{"status":"Notice Filed","jurisdiction":"Missouri","effectiveDate":"1997-11-19"},{"status":"Notice Filed","jurisdiction":"Montana","effectiveDate":"1997-11-26"},{"status":"Notice Filed","jurisdiction":"Nebraska","effectiveDate":"1999-11-24"},{"status":"Notice Filed","jurisdiction":"Nevada","effectiveDate":"1991-01-02"},{"status":"Notice Filed","jurisdiction":"New Hampshire","effectiveDate":"1988-10-26"},{"status":"Notice Filed","jurisdiction":"New Jersey","effectiveDate":"1988-09-15"},{"status":"Notice Filed","jurisdiction":"New Mexico","effectiveDate":"1989-01-25"},{"status":"Notice Filed","jurisdiction":"New York","effectiveDate":"1988-10-26"},{"status":"Notice Filed","jurisdiction":"North Carolina","effectiveDate":"2001-04-03"},{"status":"Notice Filed","jurisdiction":"North Dakota","effectiveDate":"1988-10-18"},{"status":"Notice Filed","jurisdiction":"Ohio","effectiveDate":"1999-11-19"},{"status":"Notice Filed","jurisdiction":"Oklahoma","effectiveDate":"1998-01-01"},{"status":"Notice Filed","jurisdiction":"Oregon","effectiveDate":"1988-11-18"},{"status":"Notice Filed","jurisdiction":"Pennsylvania","effectiveDate":"1998-01-01"},{"status":"Notice Filed","jurisdiction":"Puerto Rico","effectiveDate":"1996-11-01"},{"status":"Notice Filed","jurisdiction":"Rhode Island","effectiveDate":"1997-11-17"},{"status":"Notice Filed","jurisdiction":"South Carolina","effectiveDate":"1988-10-24"},{"status":"Notice Filed","jurisdiction":"South Dakota","effectiveDate":"1988-10-21"},{"status":"Notice Filed","jurisdiction":"Tennessee","effectiveDate":"1997-09-19"},{"status":"Notice Filed","jurisdiction":"Texas","effectiveDate":"2001-04-30"},{"status":"Notice Filed","jurisdiction":"Utah","effectiveDate":"1997-10-09"},{"status":"Notice Filed","jurisdiction":"Vermont","effectiveDate":"1997-11-24"},{"status":"Notice Filed","jurisdiction":"Virgin Islands","effectiveDate":"2008-02-28"},{"status":"Notice Filed","jurisdiction":"Virginia","effectiveDate":"1998-02-03"},{"status":"Notice Filed","jurisdiction":"Washington","effectiveDate":"1998-12-29"},{"status":"Notice Filed","jurisdiction":"West Virginia","effectiveDate":"1988-09-06"},{"status":"Notice Filed","jurisdiction":"Wisconsin","effectiveDate":"1997-11-17"},{"status":"Notice Filed","jurisdiction":"Wyoming","effectiveDate":"2018-01-16"}],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"1981-05-13"}]}},"wealthAumPerClient":1751036.2580057725,"staff":{"employees":2268,"advisory":1765,"brokerDealerReps":1698,"insuranceAgents":60,"promoters":1},"aum":{"discretionary":133354336653,"discretionaryAccounts":46265,"nonDiscretionary":289892273,"nonDiscretionaryAccounts":4,"wrapProgram":0,"nonUsClientsPct":2,"nonAumClients":2355},"clientTypes":[{"label":"High-net-worth individuals","clients":29104,"regulatoryAum":50962159253},{"label":"Pension and profit-sharing plans","clients":9,"regulatoryAum":4729043},{"label":"Charitable organizations","clients":1040,"regulatoryAum":17527757435},{"label":"State or municipal government entities","clients":1,"fewerThan5":true,"regulatoryAum":5787207},{"label":"Insurance companies","clients":28,"regulatoryAum":288850139},{"label":"Corporations and other businesses","clients":506,"regulatoryAum":16937232904},{"label":"Other","clients":15580,"regulatoryAum":47917712945}],"fees":[],"feeNotes":[],"feePrograms":[{"tier":"asserted","pages":[9],"excerpt":"Clients generally compensate GS&Co. for its advisory services through the payment of an advisory fee that\nis calculated as a percentage of assets in the Advisory Account.\n\nThe advisory fee paid by each client for an Advisory Account is set forth on the applicable fee schedule\nsigned by the client. For non-retirement Advisory Accounts, PWM offers two advisory pricing models to\nmeet clients’ needs: a comprehensive advisory fee model (“Comprehensive Advisory Services Program” or\n“CASP”) and a strategy-based advisory fee model.","program":"Private Wealth Management fee structure summary","summary":"Private Wealth Management generally charges advisory fees as a percentage of account assets. Non-retirement accounts have two pricing models: a comprehensive advisory fee model (CASP) and a strategy-based model; the applicable signed fee schedule records the client’s fee.","evidence":[],"feeBasis":"not_extracted","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037747","versionId":1037747,"reviewedOn":"2026-10-16","fee_billing":null,"submittedOn":"2026-03-31","documentName":"GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - PRIVATE WEALTH MANAGEMENT","fee_rate_low":null,"fee_rate_high":null,"fee_negotiable":null,"scheduleStatus":"complex_schedule","minimum_account":null,"fee_minimum_annual":null,"entryCountLowerBound":11},{"tier":"asserted","pages":[8],"excerpt":"Clients pay GS&Co. an annual fee based on a percentage of the market value of the Program Account, as\nset forth on the fee schedule signed by the client at account opening. Actual fees paid may be negotiated\nand may differ from those in Appendix A (for other than Retirement Plans) and Appendix B (for Retirement\nPlans). A client may pay more or less than the fees for similar clients depending on the particular\ncircumstances of the client, including the size of the relationship and required service levels.","program":"Managed Account Strategies fee structure summary","summary":"Managed Account Strategies charges an annual fee based on the market value of the account. The client signs a fee schedule at account opening; actual fees may be negotiated and differ from the separate published schedules for retirement and other accounts.","evidence":[],"feeBasis":"not_extracted","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037748","versionId":1037748,"reviewedOn":"2026-10-16","fee_billing":null,"submittedOn":"2026-03-31","documentName":"GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - MANAGED ACCOUNT STRATEGIES","fee_rate_low":null,"fee_rate_high":null,"fee_negotiable":null,"scheduleStatus":"complex_schedule","minimum_account":null,"fee_minimum_annual":null,"entryCountLowerBound":11},{"tier":"asserted","pages":[6],"excerpt":"Clients generally compensate GS&Co. for its advisory services through the payment of a fixed strategy\nbased fee. Generally, the fee is equal to 60 basis points of the fair market value of the assets invested in\nthe Advisory Account. Certain account fees and expenses are more or less expensive depending on the\nmodel chosen. The investment advisory fee payable to GS&Co. varies depending on a number of factors.\nA client could pay more or less than other clients invested in similar strategies, asset classes or products.\nIt should be expected that fees will change over time for a variety of reasons, including negotiations with\nManagers and/or the availability of fee reductions, which GS&Co. can, but may not, in its sole discretion\nuse to change the fee charged to client accounts. Amounts thereof may vary as a result of negotiations,\ndiscussions, our relationship with the client and/or factors that may include the particular circumstances of\nthe client, such as the pricing model, the size of the relationship, client customization of investment\nguidelines, required service levels and the asset class to which each strategy is attributable.","program":"Third-Party Distribution fee structure summary","summary":"Third-party distributed advisory accounts generally use a fixed strategy-based fee applied to the fair market value of invested assets. Fees can vary with negotiations, the relationship size, customized guidelines, required services and the strategy’s asset class.","evidence":[],"feeBasis":"not_extracted","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037749","versionId":1037749,"reviewedOn":"2026-10-16","fee_billing":null,"submittedOn":"2026-03-31","documentName":"GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - THIRD PARTY DISTRIBUTION","fee_rate_low":null,"fee_rate_high":null,"fee_negotiable":null,"scheduleStatus":"complex_schedule","minimum_account":null,"fee_minimum_annual":null,"entryCountLowerBound":11}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_complex_schedule","checkedAt":"2026-10-16T03:06:17.068803+00:00","documents":[{"name":"GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - THIRD PARTY DISTRIBUTION","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037749","versionId":1037749,"submittedOn":"2026-03-31"},{"name":"GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - MANAGED ACCOUNT STRATEGIES","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037748","versionId":1037748,"submittedOn":"2026-03-31"},{"name":"GOLDMAN SACHS & CO. LLC FORM ADV, PART 2A - PRIVATE WEALTH MANAGEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037747","versionId":1037747,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Goldman Sachs & Co. LLC","shortName":"Goldman Sachs & Co.","location":"New York, NY","smaAssets":97402293517}],"custodyNote":"Goldman Sachs & Co. has custody of $132.36B for 46,194 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Fairbanks Matthias","title":"Chief Compliance Officer","crd":"2872690"},{"name":"Carmine Anthony Venezia","title":"Chief Compliance Officer","crd":"4117304"},{"name":"Michael Scott Bosworth","title":"Managing Director, General Counsel, Manager","crd":"7631615"},{"name":"Denis Patrick III Coleman","title":"Managing Director, Manager","crd":"2782373"},{"name":"Brian Richard Doyle","title":"Managing Director, CFO","crd":"6003685"},{"name":"Brian Michael Greeff","title":"Co-Principal Operations Officer","crd":"4273392"},{"name":"Mark McCaskill","title":"Managing Director, Principal Operations Officer","crd":"3272131"},{"name":"David Michael Solomon","title":"Managing Director, Manager","crd":"1616414"},{"name":"John Edward Waldron","title":"Managing Director, CEO,","crd":"2569337"}],"ownership":[{"label":"The Goldman Sachs Group, Inc.","detail":"Class a member in the 75% or more ownership band and a control person, since April 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":18,"privateResidences":0},"listedOfficeAddresses":19,"foreignOffices":[],"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"555 California Street","city":"San Francisco"},{"street":"10100 Santa Monica BLVD","city":"Los Angeles"}]},{"state":"Colorado","offices":1,"addresses":[{"street":"200 Clayton Street","city":"Denver"}]},{"state":"District of Columbia","offices":1,"addresses":[{"street":"101 Constitution Avenue","city":"Washington"}]},{"state":"Florida","offices":2,"addresses":[{"street":"200 South Biscayne BLVD","city":"Miami"},{"street":"360 S Rosemary Ave","city":"West Palm Beach"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"3550 Peachtree Road, Ne","city":"Atlanta"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"71 South Wacker Drive","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"125 High Street","city":"Boston"}]},{"state":"Michigan","offices":1,"addresses":[{"street":"1001 Woodward Ave","city":"Detroit"}]},{"state":"New York","offices":2,"addresses":[{"street":"200 West Street","city":"New York","headquarters":true},{"street":"100 Coliseum DR","city":"Cohoes"}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"The Mellon Bank Center","city":"Philadelphia"}]},{"state":"Tennessee","offices":1,"addresses":[{"street":"320 Seven Springs Way","city":"Brentwood"}]},{"state":"Texas","offices":3,"addresses":[{"street":"2001 Ross Ave","city":"Dallas"},{"street":"401 South 1st Street","city":"Austin"},{"street":"609 Main Street","city":"Houston"}]},{"state":"Utah","offices":1,"addresses":[{"street":"111 South Main Street","city":"Salt Lake City"}]},{"state":"Washington","offices":1,"addresses":[{"street":"401 Union Street","city":"Seattle"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-902-1000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Commissions","Performance-based fees","Other"],"activities":["Financial planning services","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","Selection of other advisers (including private fund managers)","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":11},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":64},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":4},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":18,"detail":"5.k.(1)(a)(viii) Includes Derivative Positions Classified As Assets for Financial Accounting Purposes Only and Derivatives Reflected As Assets on Financial Statements. PWM Derivative Positions Classified As Liabilities Are Reflected in \"other\". See Schedule D Misc. for More Information. \"other\" Also Includes Structured Notes. Where A Calculated Percentage Was Greater Than 0% and Standard Rounding Would Have Resulted in 0% We Rounded Up to Avoid Implying the Value Was Truly 0%."}],"privateFunds":0},"sources":{"adv1FilingDate":"27 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/361/PDF/361.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037748","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Goldman Sachs & Co. have?","answer":"Goldman Sachs & Co. has 46,268 clients and manages $133.6 billion for them, as of July 2026. They include 29,104 high-net-worth individuals, 15,580 other clients and 1,040 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Goldman Sachs & Co. offer?","answer":"Goldman Sachs & Co. provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, publishing newsletters, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Goldman Sachs & Co. use?","answer":"Goldman Sachs & Co.’s separately managed account assets are held at Goldman Sachs & Co. LLC (New York, NY), with $97,402,293,517. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Goldman Sachs & Co. have?","answer":"Goldman Sachs & Co. has 0 investment adviser representatives registered with state securities authorities, out of 2,268 employees, and 1,765 perform investment advisory functions. 1,698 employees are registered representatives of a broker-dealer and 60 employees are 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":"What does Goldman Sachs & Co. invest in?","answer":"At the end of its last fiscal year, Goldman Sachs & Co.’s separately managed accounts held 64% registered funds (mutual funds, ETFs, BDCs), 18% other, 11% exchange-traded equities, 4% pooled vehicles (private funds and similar), 2% cash and equivalents and 1% U.S. government and agency bonds. The 18% other category is described as: 5.k.(1)(a)(viii) Includes Derivative Positions Classified As Assets for Financial Accounting Purposes Only and Derivatives Reflected As Assets on Financial Statements. PWM Derivative Positions Classified As Liabilities Are Reflected in \"other\". See Schedule D Misc. for More Information. \"other\" Also Includes Structured Notes. Where A Calculated Percentage Was Greater Than 0% and Standard Rounding Would Have Resulted in 0% We Rounded Up to Avoid Implying the Value Was Truly 0%.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Goldman Sachs & Co.?","answer":"Goldman Sachs & Co.’s direct owner is the Goldman Sachs Group, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Goldman Sachs & Co. get paid?","answer":"Goldman Sachs & Co. is paid through a percentage of assets under management, fixed fees, commissions, performance-based fees and other arrangements.","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."}