Investment Management
Goldstein Capital Corp. 

Goldstein Capital Corp. (GCC) is registered with the Securities and Exchange Commission (SEC) as an investment advisor. Brokerage and investment advisory services and fees differ. It is important for retail investors to understand the differences.

Free and simple tools are available to research firms and financial professionals at, which also provides educational materials about broker-dealers, investment advisers and investing.

What investment services and advice can you provide me?

GCC offers investment advisory services to retail investors. Accounts are customized to suit the unique needs of each client. Accounts can include bonds, stocks and a hedge fund that GCC manages. One specialty of GCC is mortgaged-back securities issued by Fannie Mae, Freddie Mac, and Ginnie Mae.

GCC regularly monitors investment accounts as part of its standard service. Available cash is typically reviewed more than once a week. Client's investment guidelines are reviewed prior to making new investments. At least annually, GCC does a more thorough review of each client's portfolio.

​In all cases, GCC requires discretionary authority. Limitations to this authority can be defined in the client's investment management agreement. Although GCC manages a proprietary hedge fund, as noted above, client investments are not limited to this fund. GCC has no minimum account size. GCC typically imposes a minimum annual fee of at least $2,000.

For more detailed information about the services that GCC offers, see GCC Form ADV, Part 2A brochure (Items 4 and 7).

Investors can ask the following: 
Given my financial situation, should I choose an investment advisory service? Why or why not? 
How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education and other qualifications? 
What do these qualifications mean?

What fees will I pay?

GCC charges an asset based fee for all accounts. The amount of the fee varies depending on the size of the account and the types of assets. For leveraged accounts, GCC generally also charges a performance fee (as allowed under regulations). Asset-based fees are assessed quarterly in arrears. Performance based fees may be assessed quarterly or annually depending on account.

The more assets that are in a retail investors account, the more the retail investor will pay in fees. Thus, GCC may have an incentive to encourage the retail investor to increase the assets in his or her account.

In addition to GCC's advisory fees, if applicable, clients pay the following: brokerage and other transaction costs, custodian fees and fees related to mutual funds, ETFs and the hedge fund that GCC manages.

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money that you make on your investments over time. Please make sure you understand what fees and costs you are paying.

For more information about the fees you will pay, see GCC's Form ADV, Part 2A brochure (Items 5.A, B., C., and D).

​Investors can ask the following: 
Help me understand how these fees and costs might affect my investments. 
If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

What are your legal obligations to me when acting as my investment advisor? How else does your firm make money and what conflicts of interest do you have?

When we act as your investment advisor, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advise we provide you. Here is an example to you understand what this means.

One conflict is that GCC manages a proprietary Hedge Fund which may be recommended to investment advisory clients. This creates a potential conflict since it gives GCC the incentive to recommend our Hedge Fund based on the extra compensation that GCC receives for managing the Hedge Fund, rather than based on the client's needs.

Investors can ask the following: 
How might your conflicts of interest affect me, and how will you address them?

For more detailed information about conflicts of interest, see GCC's Form ADV, part 2A brochure (Items 5.E., 6, 10.C., 11).

How do your financial professionals make money?

The primary way that GCC's financial professionals make money is through their salary. In addition, there may be a bonus that is based primarily on the profitability of the firm. GCC's financial professionals are not compensated on factors such as the amount of client assets they service, the time and complexity required to meet a clients's needs, the products sold, product sales commissions, or revenue the firm earns from the financial professional's advisory service recommendations.

Do your financial professionals have legal or disciplinary history?

No. Neither Goldstein Capital, Paul Goldstein nor any other management persons have any legal or disciplinary history to disclose that might be material to a client's or prospective client's evaluation of our advisory business, or of the integrity of GCC's management. Visit for a free and simple search tool to research GCC and our financial professionals.

Investors can ask the following: 
As a financial professional, do you have any disciplinary history? For what type of conduct?

Additional Information

You can call GCC at 212-750-7450 to request up-to-date information about GCC or to request a copy of this relationship summary. Further information about Goldstein Capital Corp. can be found on the SEC's website at or on GCC's website

Investors can ask the following: 
Who is my primary contact person? 
Is he or she a representative of an investment advisor or a broker dealer? 
Who can I talk to if I have concerns about how this person is treating me?

Client Relationship Summary
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