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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

GOLDEN CAPITAL MANAGEMENT, LLC

CRD 110667

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0b74c37e-bd27-b685-ae0d-779742aa1092

Data as of Aug 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2012 to Aug 31, 2017
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $9.7BItem 5.F on the latest filing (2017-08-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.4B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 9
Accounts: 1,518
SEC number: 801-57973
CRD: 110667
Filings on the tape: 23
First filed: Mar 2, 2012
Latest filed: Aug 31, 2017
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BARANKO, FRANCIS, JON	EXECUTIVE VICE PRESDIENT/DIRECTOR	Na	yes	07/2017	Jul 24, 2017	Aug 31, 2017
CANGALOSI, JONATHAN, WILLIAM	EXECUTIVE VICE PRESIDENT	Na	yes	12/2000	Mar 2, 2012	Aug 31, 2017
DONAHUE, CHRISTINE, A	CHIEF COMPLIANCE OFFICER	Na	yes	07/2017	Jul 24, 2017	Aug 31, 2017
EVEREN CAPITAL CORPORATION	Shareholder	E	yes	07/2017	Jul 24, 2017	Aug 31, 2017
GOLDEN, GREG, WILLIAM	PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR	Na	yes	12/2000	Mar 2, 2012	Aug 31, 2017
HARTMAN, KIRK, DOUGLAS	Director	Na	yes	07/2017	Jul 24, 2017	Aug 31, 2017
MOSER, JEFFREY, CORNELL	CHIEF OPERATING OFFICER	Na	yes	12/2000	Mar 2, 2012	Aug 31, 2017
NORTON, KAREN, LEE	Director	Na	yes	07/2017	Jul 24, 2017	Aug 31, 2017
SQUIRE, SALLIE, CLEMENTS	Director	Na	yes	07/2017	Jul 24, 2017	Aug 31, 2017
WELLS CAPITAL MANAGEMENT INC	100% OWNER OF GOLDEN CAPITAL MANAGEMENT, LLC	E	yes	07/2017	Apr 10, 2017	Aug 31, 2017
WELLS FARGO & COMPANY	Shareholder	E	yes	01/2009	Mar 2, 2012	Aug 31, 2017
WELLS FARGO ASSET MANAGEMENT HOLDINGS, LLC	Shareholder	E	yes	07/2017	Jul 24, 2017	Aug 31, 2017
ALEXANDER, LYNETTE, WOOD	CHIEF FINANCIAL OFFICER	Na	no	12/2000	Mar 2, 2012	Aug 31, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WELLS FARGO CLEARING SERVICES, LLC	n/a	Wirehouse	$671B	N	yes	Mo
WELLS CAPITAL MANAGEMENT INCORPORATED	n/a	Asset manager	$476B	Y	yes	n/a
WELLS FARGO FUNDS MANAGEMENT, LLC	n/a	Asset manager	$325B	N	yes	n/a
WELLS FARGO BANK, N.A.	n/a	n/a	n/a	N	yes	Mn
WELLS FARGO FUNDS DISTRIBUTOR, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 27, 2017	$9.7B	$7.4B	23	9	n/a	n/a	n/a
2015	Mar 29, 2016	$8.9B	$6.8B	21	8	n/a	n/a	n/a
2014	Mar 27, 2015	$8.1B	$6.7B	22	9	n/a	n/a	n/a
2013	Mar 28, 2014	$7.6B	$6.4B	21	12	n/a	n/a	n/a
2012	Mar 8, 2013	$7.3B	$6.3B	24	11	n/a	n/a	n/a
2011	Mar 2, 2012	$7.1B	$6.6B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$9.7B	$8.9B	9.6%	$7.6B	8.4%	23	21	n/a	n/a

Relationships

Affiliated with (3)

→ ALLSPRING GLOBAL INVESTMENTS, LLCRegistered adviserother investment adviser, bank, control, common control
factForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserother investment adviser, broker-dealer, LP sponsor, custodian, common control
factForm ADV

Controls (12)

← WELLS CAPITAL MANAGEMENT INCOwner100% OWNER OF GOLDEN CAPITAL MANAGEMENT, LLC, ownership code E, domestic entity
Apr 10, 2017 to presentfactForm ADV
← HARTMAN, KIRK, DOUGLASOwnerDIRECTOR, ownership code NA, individual
Jul 24, 2017 to presentfactForm ADV
← BARANKO, FRANCIS, JONOwnerEXECUTIVE VICE PRESDIENT/DIRECTOR, ownership code NA, individual
Jul 24, 2017 to presentfactForm ADV
← GOLDEN, GREG, WILLIAMOwnerPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← MOSER, JEFFREY, CORNELLOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← CANGALOSI, JONATHAN, WILLIAMOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← SQUIRE, SALLIE, CLEMENTSOwnerDIRECTOR, ownership code NA, individual
Jul 24, 2017 to presentfactForm ADV
← NORTON, KAREN, LEEOwnerDIRECTOR, ownership code NA, individual
Jul 24, 2017 to presentfactForm ADV
← DONAHUE, CHRISTINE, AOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 24, 2017 to presentfactForm ADV
← EVEREN CAPITAL CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Jul 24, 2017 to presentfactForm ADV
← WELLS FARGO & COMPANYOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 2, 2012 to presentfactForm ADV
← WELLS FARGO ASSET MANAGEMENT HOLDINGS, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Jul 24, 2017 to presentfactForm ADV

Owns (1)

← ALEXANDER, LYNETTE, WOODOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV

Registered with (2)

← David FaraceAdvisorregistration: previous registration
Jul 11, 2009 to Jan 12, 2018factForm ADV
← THEODORE JAMES BROWNAdvisorregistration: previous registration
May 30, 2002 to Jun 5, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b74c37e-bd27-b685-ae0d-779742aa1092
First observed: Mar 2, 2012
Last observed: Aug 31, 2017 110 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

GOLDEN CAPITAL MANAGEMENT, LLC

CRD 110667

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0b74c37e-bd27-b685-ae0d-779742aa1092

Data as of Aug 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARANKO, FRANCIS, JON

EXECUTIVE VICE PRESDIENT/DIRECTOR

yes

07/2017

Jul 24, 2017

Aug 31, 2017

CANGALOSI, JONATHAN, WILLIAM

EXECUTIVE VICE PRESIDENT

yes

12/2000

Mar 2, 2012

Aug 31, 2017

DONAHUE, CHRISTINE, A

CHIEF COMPLIANCE OFFICER

yes

07/2017

Jul 24, 2017

Aug 31, 2017

EVEREN CAPITAL CORPORATION

Shareholder

yes

07/2017

Jul 24, 2017

Aug 31, 2017

GOLDEN, GREG, WILLIAM

PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR

yes

12/2000

Mar 2, 2012

Aug 31, 2017

HARTMAN, KIRK, DOUGLAS

Director

yes

07/2017

Jul 24, 2017

Aug 31, 2017

MOSER, JEFFREY, CORNELL

CHIEF OPERATING OFFICER

yes

12/2000

Mar 2, 2012

Aug 31, 2017

NORTON, KAREN, LEE

Director

yes

07/2017

Jul 24, 2017

Aug 31, 2017

SQUIRE, SALLIE, CLEMENTS

Director

yes

07/2017

Jul 24, 2017

Aug 31, 2017

WELLS CAPITAL MANAGEMENT INC

100% OWNER OF GOLDEN CAPITAL MANAGEMENT, LLC

yes

07/2017

Apr 10, 2017

Aug 31, 2017

WELLS FARGO & COMPANY

Shareholder

yes

01/2009

Mar 2, 2012

Aug 31, 2017

WELLS FARGO ASSET MANAGEMENT HOLDINGS, LLC

Shareholder

yes

07/2017

Jul 24, 2017

Aug 31, 2017

ALEXANDER, LYNETTE, WOOD

CHIEF FINANCIAL OFFICER

12/2000

Mar 2, 2012

Aug 31, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WELLS FARGO CLEARING SERVICES, LLC

n/a

Wirehouse

$671B

yes

WELLS CAPITAL MANAGEMENT INCORPORATED

n/a

Asset manager

$476B

yes

n/a

WELLS FARGO FUNDS MANAGEMENT, LLC

n/a

Asset manager

$325B

yes

n/a

WELLS FARGO BANK, N.A.

n/a

yes

WELLS FARGO FUNDS DISTRIBUTOR, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 27, 2017

$9.7B

$7.4B

n/a

2015

Mar 29, 2016

$8.9B

$6.8B

n/a

2014

Mar 27, 2015

$8.1B

$6.7B

n/a

2013

Mar 28, 2014

$7.6B

$6.4B

n/a

2012

Mar 8, 2013

$7.3B

$6.3B

n/a

2011

Mar 2, 2012

$7.1B

$6.6B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$9.7B

$8.9B

9.6%

$7.6B

8.4%

n/a