Googins Advisors, Inc. (Middleton)

Name: Googins Advisors, Inc.
Address: 6417 University Avenue, Middleton, WI, 53562
Telephone: 608 514-1044

Googins Advisors, Inc. is a large advisory firm based in Middleton. It manages $252.77 million of regulatory assets for 1,286 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of California, Colorado, Florida, and 6 other states.

Googins Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 499 clients. On top of advisory services, the firm doesn't engage in other business activities.

Googins Advisors: assets under management

The assets under management (AUM) of Googins Advisors, Inc. is $252.77 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 18% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $252.77 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $196.55 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 93% of the total AUM. The second-largest asset type is exchange traded securities, which make up 4% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Googins Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Googins Advisors serves?

The only and largest group of clients of Googins Advisors is individuals with 690 clients and $252.77 million of assets under management. Among the 10 most similar advisory firms, Googins Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $252.77 million for 690 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Googins Advisors doesn't advise any private funds.

Careers at Googins Advisors, Inc.

The company employs 6 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Louise Paulson Googins	President, treasurer, financial operations manager, chief compliance officer	1 Sep 1984	75% - 100%	857700
Karl Robert Kuelthau	Chief compliance officer	1 Jan 2016	Other	xxx-xx-xxxx

Based in Middleton

The principal office where Googins Advisors, Inc. performs its advisory services is located at 6417 University Avenue, Middleton, WI 53562, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 608 514-1044 or by fax 608 836-3328. The normal business hours are 8:30-5:00 on Other. You can find more information about the New York firm at googins.com and its LinkedIn profile.