Goggans Group Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
309 Broad St
Gadsden AL 35901
Advisors at this office
1
Most active in
Alabama · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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
Quick links
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