Goggans Group Inc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$15,772,726
Clients
59
12% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
59
Very HighAverage account size
$267,334
About
The firm is an independent, fee-only registered investment adviser serving individual and small-business clients with discretionary portfolio management and integrated financial planning. It also provides retirement plan account management and assists clients with estate-planning document preparation through a third-party provider; those estate services are not legal advice.
The firm’s investment approach emphasizes asset allocation as the primary driver of results and generally implements portfolios using exchange-traded funds, stocks, and bonds tailored to each client’s time horizon and risk tolerance. Accounts are typically managed on a discretionary basis with quarterly reviews, and financial planning is included in managed relationships or offered hourly to self-directed clients.
Noteworthy distinctions include a regulatory disclosure event: in October 2023 the firm entered a Consent Order with the state securities regulator related to the transfer of assets and subsequent withdrawals involving a client’s power of attorney, an uncommon occurrence among peers. The adviser operates as a solo practitioner with roughly $15.8 million in discretionary AUM across about 59 clients, uses third-party platforms for custody and retirement-plan linkage, and leaves proxy voting with clients rather than voting securities on their behalf.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Cash flow / budgeting
Fee options
Estate planning services: $350 for will-based plan, $550 for trust-based plan, plus $100 per hour for additional time
1.00% annually
$100 per hour for financial planning services to clients who self-manage investments; billed in quarter-hour increments
Fee-only: Fee-only independent Investment Adviser; no commissions or performance fees
Main office location
Goggans Group Inc
309 Broad St
Gadsden AL 35901, United States
Number of offices
1
Most active in
Goggans Group Inc has reported serving >5 clients in these states in the last 12 months.
Alabama · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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