Broker-dealer firm · Middleton, WI
Googins Advisors, Inc.
SEC-registered investment adviser · CRD 13985 · SEC 801-68432
At a glance
Googins Advisors, Inc. is an SEC-registered investment adviser based in Middleton, Wisconsin, with $566 million in regulatory assets under management as of its Form ADV filed September 29, 2026. Its largest client group by assets is individuals, and it reports 796 individual clients. By Form ADV it is a broker-dealer firm, ranked 201st of 391 broker-dealer firms and 7,330th of 17,210 SEC-registered advisers by assets.
Main office 608-514-1044googins.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $566M
- Rank among broker-dealer firms
- #201 of 391
- Rank among all SEC RIAs
- #7,330 of 17,210
- Rank in Wisconsin
- #83 of 195
- Individual clients
- 796
- High-net-worth clients
- 277
- Accounts
- 1,667
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Louise P. GooginsPresident, Treasurer
- Richard H. MartinChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 519 | $339M | 60% |
| High-net-worth individuals | 277 | $226M | 40% |
Disciplinary disclosures
Googins Advisors, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗googins.com ↗
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- Assets, accounts, clients and staff, ten years of filings
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Background
Questions
How much does Googins Advisors, Inc. manage?
Googins Advisors, Inc. reports $566 million in regulatory assets under management across 1,667 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 29, 2026.
What kind of firm is Googins Advisors, Inc.?
Googins Advisors, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Googins Advisors, Inc.’s clients?
By assets, its largest client types are individuals ($339 million, 519 clients); high-net-worth individuals ($226 million, 277 clients).
Does Googins Advisors, Inc. have any disciplinary history?
Googins Advisors, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Googins Advisors, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-29), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →