DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Golden Capital Management, LLC

Former SEC-registered adviserCharlotte, North CarolinaCRD 110667SEC 801-57973IAPD
Latest filing Aug 31, 2017
First filing on the tape Mar 2, 2012 · 23 filings
RAUM
$9.7B
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$9.7B as of Mar 27, 2017
Mar 2, 2012$7.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 27, 2017
Mar 8, 20139 then
Employees (5.A)23 as of Mar 27, 2017
Mar 8, 201324 then
Private funds: no history
RAUM +9.6% over the last fiscal year+8.4% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Aug 31, 2017; every figure names its basis
RAUM per advisor
$1.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$6.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,518reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jon Francis Baranko · Executive Vice Presdient/Directorcontrol
    since 07/2017 · owns less than 5%
  • William Jonathan Cangalosi · Executive Vice Presidentcontrol
    since 12/2000 · owns less than 5%
  • A Christine Donahue · Chief Compliance Officercontrol
    since 07/2017 · owns less than 5%
  • William Greg Golden · President/Chief Executive Officer/Directorcontrol
    since 12/2000 · owns less than 5%
  • Douglas Kirk Hartman · Directorcontrol
    since 07/2017 · owns less than 5%
  • Cornell Jeffrey Moser · Chief Operating Officercontrol
    since 12/2000 · owns less than 5%
  • Lee Karen Norton · Directorcontrol
    since 07/2017 · owns less than 5%
  • Clements Sallie Squire · Directorcontrol
    since 07/2017 · owns less than 5%
  • Wood Lynette Alexander · Chief Financial Officer
    since 12/2000 · owns less than 5%
Entity owners
  • Wells Capital Management Inc · 100% Owner Of Golden Capital Management, LLC
    direct · owns 75% or more
  • Everen Capital Corporation · Shareholder
    indirect · owns 75% or more of Wells Fargo Asset Management Holdings, LLC
  • Wells Fargo & Company · Shareholder
    indirect · owns 75% or more of Everen Capital Corporation · public reporting company
  • Wells Fargo Asset Management Holdings, LLC · Shareholder
    indirect · owns 75% or more of Wells Capital Management Inc.
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 2,118 to 1,518
    Nov 1, 2016 to Mar 27, 2017
  • Advisory employees · 8 to 9
    Nov 1, 2016 to Mar 27, 2017
  • Employees · 21 to 23
    Nov 1, 2016 to Mar 27, 2017
  • Discretionary RAUM · $6.8B to $7.4B
    Nov 1, 2016 to Mar 27, 2017
  • Non-discretionary RAUM · $2.1B to $2.3B
    Nov 1, 2016 to Mar 27, 2017
  • RAUM · $8.9B to $9.7B
    Nov 1, 2016 to Mar 27, 2017
  • Advisory employees · 9 to 8
    Mar 27, 2015 to Mar 29, 2016
  • Accounts · 1,582 to 2,118
    Mar 27, 2015 to Mar 29, 2016
  • Employees · 22 to 21
    Mar 27, 2015 to Mar 29, 2016
  • State-registered IARs · 9 to 7
    Mar 27, 2015 to Mar 29, 2016
  • Discretionary RAUM · $6.7B to $6.8B
    Mar 27, 2015 to Mar 29, 2016
  • Non-discretionary RAUM · $1.5B to $2.1B
    Mar 27, 2015 to Mar 29, 2016
  • RAUM · $8.1B to $8.9B
    Mar 27, 2015 to Mar 29, 2016
  • Accounts · 1,090 to 1,582
    Mar 28, 2014 to Mar 27, 2015
  • Advisory employees · 12 to 9
    Mar 28, 2014 to Mar 27, 2015
  • BD registered reps · 0 to 4
    Mar 28, 2014 to Mar 27, 2015
  • Employees · 21 to 22
    Mar 28, 2014 to Mar 27, 2015
  • State-registered IARs · 10 to 9
    Mar 28, 2014 to Mar 27, 2015
  • Discretionary RAUM · $6.4B to $6.7B
    Mar 28, 2014 to Mar 27, 2015
  • Non-discretionary RAUM · $1.2B to $1.5B
    Mar 28, 2014 to Mar 27, 2015
  • RAUM · $7.6B to $8.1B
    Mar 28, 2014 to Mar 27, 2015
  • Accounts · 1,155 to 1,090
    Sep 26, 2013 to Mar 28, 2014
  • Advisory employees · 11 to 12
    Sep 26, 2013 to Mar 28, 2014
  • Advisory activities · 4 to 5
    Sep 26, 2013 to Mar 28, 2014
  • Employees · 24 to 21
    Sep 26, 2013 to Mar 28, 2014
  • State-registered IARs · 9 to 10
    Sep 26, 2013 to Mar 28, 2014
  • Discretionary RAUM · $6.3B to $6.4B
    Sep 26, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $988M to $1.2B
    Sep 26, 2013 to Mar 28, 2014
  • RAUM · $7.3B to $7.6B
    Sep 26, 2013 to Mar 28, 2014
  • Accounts · 3,259 to 1,155
    Nov 28, 2012 to Mar 8, 2013
  • Employees · 25 to 24
    Nov 28, 2012 to Mar 8, 2013
  • Discretionary RAUM · $6.6B to $6.3B
    Nov 28, 2012 to Mar 8, 2013
  • Non-discretionary RAUM · $523M to $988M
    Nov 28, 2012 to Mar 8, 2013
  • RAUM · $7.1B to $7.3B
    Nov 28, 2012 to Mar 8, 2013
  • Advisory employees · unset to 11.0
    Oct 26, 2012 to Nov 5, 2012
  • Employees · unset to 25.0
    Oct 26, 2012 to Nov 5, 2012
  • State-registered IARs · unset to 9.0
    Oct 26, 2012 to Nov 5, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026