GATHER FINANCIAL PLANNING
GOLDMAN FINANCIAL PLANNING, LLC Legal Name
Adviser information for GATHER FINANCIAL PLANNING last updated from Form ADV on February 23rd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maine, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 400 | $148.4M |
| Non-Discretionary | 0 | $0 |
| Total | 400 | $148.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $30.5M |
| HNW Individuals | 44 | $103.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $14.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 47 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 148.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WRAP FEE INVESTMENT PROGRAM | GOLDMAN FINANCIAL PLANNING, INC. |
Identifiers
| SEC RIA File Number | 801-118146 |
|---|---|
| SEC ERA File Number | 801-118146 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164542 |
| Legal Entity Identifier | None |
Principal Office
19 NORTHBROOK DRIVEFALMOUTH
ME
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 207-781-3500, Fax: 888-664-6170
Websites
Chief Compliance Officer
ABBY MORTON
CHIEF COMPLIANCE OFFICER
67 PINE STREET
SUITE #1
BANGOR
ME
United States
Tel:
207-781-3500
Fax:
888-664-6170
A***@***********M
(Full email address available in API data)
Regulatory Contact
MICHAEL GOLDMAN
EXECUTIVE DIRECTOR
19 NORTHBROOK DRIVE
FALMOUTH
ME
United States
Tel:
207-781-3500
Fax:
888-664-6170
M******@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOLDMAN, MICHAEL, COREY | Individual | – | EXECUTIVE DIRECTOR/MAJORITY SHAREHOLDER | 05/2012 | > 75% |
| MORTON, ABIGAIL, TURNER | Individual | – | CHIEF COMPLIANCE OFFICER/PARTNER | 07/2018 | 5-10% |
| Williams, Elizabeth, Alden | Individual | – | PARTNER | 01/2020 | < 5% |