{"url":"https://nivawealth.com/firms/googins-advisors-13985","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/13985","regulatoryAum":565541454,"crd":"13985","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2969176","suffix":null,"lastName":"GOLDSMITH","firstName":"LYNNE","middleName":"RIPPLE"},{"crd":"857700","suffix":null,"lastName":"GOOGINS","firstName":"LOUISE","middleName":"PAULSON"},{"crd":"7559109","suffix":null,"lastName":"Hoffmann","firstName":"Dayton","middleName":"Raymond"},{"crd":"4499529","suffix":null,"lastName":"MARTIN","firstName":"RICHARD","middleName":"HUBBARD"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-07","regulatoryAum":264920011,"clients":715,"employees":4,"offices":1},{"filedOn":"2022-07-21","regulatoryAum":321170807,"clients":777,"employees":8,"offices":1},{"filedOn":"2024-04-25","regulatoryAum":360245750,"clients":776,"employees":8,"offices":1},{"filedOn":"2024-09-27","regulatoryAum":429066062,"clients":773,"employees":8,"offices":1},{"filedOn":"2026-02-02","regulatoryAum":501043111,"clients":778,"employees":8,"offices":1},{"filedOn":"2026-09-29","regulatoryAum":565541454,"clients":796,"employees":8,"offices":1}],"secFileNumber":"801-68432","legalName":"Googins Advisors, Inc.","displayName":"Googins Advisors","slug":"googins-advisors-13985","website":"https://googins.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"http://twitter.com/thegooginsway","founded":null,"organization":"Wisconsin corporation","fiscalYearEnd":"June","headquarters":{"street":"6417 University Avenue","city":"Middleton","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53562"},"tradeNames":[],"registration":{"secApproved":"6 November 2007","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":710479.2135678392,"staff":{"employees":8,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":565541454,"discretionary":565541454,"discretionaryAccounts":1667,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":519,"regulatoryAum":339155210},{"label":"High-net-worth individuals","clients":277,"regulatoryAum":226386244}],"feePrograms":[{"role":"main","program":"Investment Advisory and Management Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.8,"from":1000000},{"to":null,"pct":0.6,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059526","versionId":1059526,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-09-29","documentName":"FORM ADV PART 2AB GOOGINS ADVISORS, INC.","fee_rate_low":0.6,"fee_rate_high":1,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T05:46:50.202497+00:00","documents":[{"name":"FORM ADV PART 2AB GOOGINS ADVISORS, INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059526","versionId":1059526,"submittedOn":"2026-09-29"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":318611881},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":226386244}],"custodyNote":"Googins Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Louise Paulson Googins","title":"President, Treasurer","crd":"857700"},{"name":"Richard Martin","title":"Chief Compliance Officer","crd":"4499529"}],"ownership":[{"label":"Louise Paulson Googins","detail":"President, treasurer in the 75% or more ownership band and a control person, since September 1984."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"6417 University Avenue","city":"Middleton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"608-514-1044","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"Securities issued by registered investment companies or business development companies","percent":90},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"29 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/13985/PDF/13985.pdf","brochureDate":"29 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059526","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Googins Advisors have?","answer":"Googins Advisors has 796 clients and manages $566 million for them, as of September 2026. They include 519 individual clients and 277 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Googins Advisors offer?","answer":"Googins Advisors provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Googins Advisors charge?","answer":"Googins Advisors charges 0.60%–1.00% for its Investment Advisory and Management Services. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance and is not negotiable.","source":"FORM ADV PART 2AB GOOGINS ADVISORS, INC., filed 29 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Googins Advisors use?","answer":"Googins Advisors’ separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $319M and Charles Schwab & Co., Inc. (Westlake, TX), with $226M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Googins Advisors have?","answer":"Googins Advisors has 3 investment adviser representatives registered with state securities authorities, out of 8 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Googins Advisors invest in?","answer":"At the end of its last fiscal year, Googins Advisors’ separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 7% exchange-traded equities and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Googins Advisors?","answer":"Googins Advisors’ direct owner is Louise Paulson Googins (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Googins Advisors get paid?","answer":"Googins Advisors is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Googins Advisors?","answer":"Googins Advisors’ main office is at 6417 University Avenue, Middleton, WI 53562. Its phone number is 608-514-1044. Its website is googins.com.","source":"Form ADV Part 1A, Item 1.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}