{"url":"https://nivawealth.com/firms/goodstein-wealth-management-282910","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/282910","regulatoryAum":114199021,"crd":"282910","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2384297","suffix":null,"lastName":"GOODSTEIN","firstName":"ALAN","middleName":"RANDALL"},{"crd":"7962861","suffix":null,"lastName":"Oktyabrskiy","firstName":"Yevgeniy","middleName":"Yakovlevi"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2023-06-05","regulatoryAum":100571658,"clients":173,"employees":2,"offices":2},{"filedOn":"2024-07-25","regulatoryAum":128751104,"clients":177,"employees":3,"offices":3},{"filedOn":"2025-02-17","regulatoryAum":97930330,"clients":100,"employees":3,"offices":2},{"filedOn":"2026-03-16","regulatoryAum":114199021,"clients":101,"employees":2,"offices":1}],"secFileNumber":"801-127449","legalName":"Goodstein Wealth Management LLC","displayName":"Goodstein Wealth Management","slug":"goodstein-wealth-management-282910","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"15760 Ventura BLVD., Suite 1520","city":"Encino","state":"CA","stateName":"California","country":"United States","postalCode":"91436"},"tradeNames":[],"registration":{"secApproved":"24 April 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1136814.66,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":114199021,"discretionary":114199021,"discretionaryAccounts":275,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":8},"clientTypes":[{"label":"Individuals (other than HNW)","clients":54,"regulatoryAum":19994000},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":93687466},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":517555}],"feePrograms":[{"role":"main","program":"Asset Management (non-wrap)","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019727","versionId":1019727,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-16","documentName":"FORM ADV2A/2B - SEC","fee_rate_low":0.75,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Complete Financial Plan","summary":"Financial plan billed at an hourly rate of $320, or a fixed fee from $500 to $5,500 depending on scope.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019727","versionId":1019727,"submittedOn":"2026-03-16","documentName":"FORM ADV2A/2B - SEC"},{"role":"other","program":"ERISA Plan Services","summary":"Annual fee on included plan assets, not to exceed 1%, charged monthly in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019727","versionId":1019727,"submittedOn":"2026-03-16","documentName":"FORM ADV2A/2B - SEC"},{"role":"other","program":"One-time Annual Financial Plan Review","summary":"One-time annual financial plan review at a fixed cost of $750.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019727","versionId":1019727,"submittedOn":"2026-03-16","documentName":"FORM ADV2A/2B - SEC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:23:04.573809+00:00","documents":[{"name":"FORM ADV2A/2B - SEC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019727","versionId":1019727,"submittedOn":"2026-03-16"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":114199021}],"custodyNote":"Goodstein Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Alan Goodstein","title":"Chief Compliance Officer","crd":"2384297"}],"ownership":[{"label":"Alan Goodstein","detail":"Chief compliance officer in the 75% or more ownership band and a control person, since February 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"15760 Ventura BLVD., Suite 1520","city":"Encino","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"818-995-3500","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":46},{"label":"U.S. government/agency bonds","percent":8},{"label":"U.S. state and local bonds","percent":4},{"label":"Investment grade corporate bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":34},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"16 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/282910/PDF/282910.pdf","brochureDate":"16 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019727","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Goodstein Wealth Management have?","answer":"Goodstein Wealth Management has 101 clients and manages $114 million for them, as of March 2026. They include 54 individual clients, 46 high-net-worth individuals and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Goodstein Wealth Management offer?","answer":"Goodstein Wealth Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Goodstein Wealth Management charge?","answer":"Goodstein Wealth Management charges 0.75%–1.00% a year for its Asset Management (non-wrap). The fee is billed in advance and is negotiable.","source":"FORM ADV2A/2B - SEC, filed 16 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Goodstein Wealth Management use?","answer":"Goodstein Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $114M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Goodstein Wealth Management have?","answer":"Goodstein Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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":"What does Goodstein Wealth Management invest in?","answer":"At the end of its last fiscal year, Goodstein Wealth Management’s separately managed accounts held 46% exchange-traded equities, 34% registered funds (mutual funds, ETFs, BDCs), 8% U.S. government and agency bonds, 6% investment grade corporate bonds, 4% state and local bonds and 2% cash and equivalents.","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 Goodstein Wealth Management?","answer":"Goodstein Wealth Management’s direct owner is Alan Goodstein (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Goodstein Wealth Management get paid?","answer":"Goodstein Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees 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"}},{"question":"How do I contact Goodstein Wealth Management?","answer":"Goodstein Wealth Management’s main office is at 15760 Ventura BLVD., Suite 1520, Encino, CA 91436. Its phone number is 818-995-3500.","source":"Form ADV Part 1A, Item 1.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}