GOOGINS ADVISORS, INC.
Adviser information for GOOGINS ADVISORS, INC. last updated from Form ADV on October 2nd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,528 | $360.2M |
| Non-Discretionary | 0 | $0 |
| Total | 1,528 | $360.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 544 | $108.9M |
| HNW Individuals | 232 | $251.4M |
| 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 | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-68432 |
|---|---|
| SEC ERA File Number | 801-68432 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 13985 |
| Legal Entity Identifier | None |
Principal Office
6417 UNIVERSITY AVENUEMIDDLETON
WI
United States
FRIDAY SHORTENED HOURS, 8:30-5:00
Tel: 608 514-1044, Fax: 608 836-3328
Chief Compliance Officer
LOUISE GOOGINS
PRESIDENT, FINOP, TREASURER
6417 UNIVERSITY AVE
MIDDLETON
WI
United States
Tel:
608 514-1044
Fax:
608 836-3228
L*****@**********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 |
|---|---|---|---|---|---|
| GOOGINS, LOUISE PAULSON | Individual | – | PRESIDENT, TREASURER, CCO, FINANCIAL OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER | 09/1984 | > 75% |