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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CAPITAL TRUST ADVISORS

GOLDBERG ADVISERS, LLC, CRD 134174

SAN RAFAEL, CA

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:c53c8027-2305-d30a-d726-e5a646677076

Data as of Apr 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2011 to Apr 7, 2026
33 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $403MItem 5.F on the latest filing (2026-04-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $403M
Private client RAUM: $403MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $134Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 514
Individual clients: 119
High net worth clients: 112
SEC number: 801-121095
CRD: 134174
Filings on the tape: 33
First filed: Nov 14, 2011
Latest filed: Apr 7, 2026
Organised: Limited Liability Company, CA
Website: capitaltrustadvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
SANFORD PHILIP LOWENGART	n/a	Montgomery Street, CA	9	34	5	no
JOHN JACKSON GOLDBERG	Chartered Financial Analyst	Piedmont, CA	9	27	1	no
JAMES JEFFREY LAMBERT	Certified Financial Planner	Gardnerville, NV	0	34	3	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
GOLDBERG PARTNERS, L.P.	Other Private Fund	$156,717	Mar 22, 2022	10	Nov 17, 2011	dropped	021-150244

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
GOLDBERG, JOHN, JACKSON	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	01/2000	Nov 14, 2011	Mar 30, 2024
GOLDBERG, KAY, PATRICIA	Member	Na	no	01/2000	Nov 14, 2011	Mar 30, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	1	no
n/a	n/a	n/a	1	no

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
2025	Apr 7, 2026	$403M	$403M	4	3	2	n/a	n/a
2024	Mar 31, 2025	$357M	$357M	4	4	2	n/a	n/a
2023	Mar 30, 2024	$330M	$330M	4	3	2	n/a	n/a
2022	Mar 31, 2023	$252M	$252M	3	3	3	n/a	n/a
2021	Mar 22, 2022	$291M	$291M	3	3	3	1	$156,717

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

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
2025	$403M	$357M	12.9%	$252M	16.9%	4	4	2	2

Relationships

Registered with (3)

← JAMES JEFFREY LAMBERTAdvisorregistration: current employment
Jan 21, 2026 to presentfactForm ADV
← SANFORD PHILIP LOWENGARTAdvisorregistration: current employment
Jun 14, 2017 to presentfactForm ADV
← JOHN JACKSON GOLDBERGAdvisorregistration: current employment
Jun 14, 2017 to presentfactForm ADV

Controls (1)

← GOLDBERG, JOHN, JACKSONOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 14, 2011 to Mar 30, 2024factForm ADV

Owns (1)

← GOLDBERG, KAY, PATRICIAOwnerMEMBER, ownership code NA, individual
Nov 14, 2011 to Mar 30, 2024factForm ADV

Advises (1)

→ GOLDBERG PARTNERS, L.P.Private fundOther Private Fund, IA, no longer reported
Nov 17, 2011 to Mar 22, 2022factForm ADV

Dated events

Occurred
Mar 31, 2021
First Form ADV filing
Capital Trust Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c53c8027-2305-d30a-d726-e5a646677076
First observed: Nov 14, 2011
Last observed: Apr 7, 2026 5 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.

CAPITAL TRUST ADVISORS

GOLDBERG ADVISERS, LLC, CRD 134174

SAN RAFAEL, CA

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:c53c8027-2305-d30a-d726-e5a646677076

Data as of Apr 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:19 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SANFORD PHILIP LOWENGART

n/a

Montgomery Street, CA

JOHN JACKSON GOLDBERG

Chartered Financial Analyst

Piedmont, CA

JAMES JEFFREY LAMBERT

Certified Financial Planner

Gardnerville, NV

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

GOLDBERG PARTNERS, L.P.

Other Private Fund

$156,717

Mar 22, 2022

Nov 17, 2011

dropped

021-150244

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOLDBERG, JOHN, JACKSON

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

01/2000

Nov 14, 2011

Mar 30, 2024

GOLDBERG, KAY, PATRICIA

Member

01/2000

Nov 14, 2011

Mar 30, 2024

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 7, 2026

$403M

n/a

2024

Mar 31, 2025

$357M

n/a

2023

Mar 30, 2024

$330M

n/a

2022

Mar 31, 2023

$252M

n/a

2021

Mar 22, 2022

$291M

$156,717

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$403M

$357M

12.9%

$252M

16.9%