# Goggans Group Inc

> Goggans Group Inc is a state-registered investment advisory firm in Gadsden, AL, registered since 2016, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.

- CRD: 155039
- Filed as: GOGGANS GROUP INC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Gadsden, AL
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/155039
- AdvisorCensus page: https://advisorcensus.com/firm/goggans-group-inc-gadsden-al-155039

## Quick answers

**How is Goggans Group Inc compensated?**
On its Form ADV (Item 5.E, October 2026), Goggans Group Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Goggans Group Inc located?**
Goggans Group Inc's principal office is in Gadsden, AL, according to its Form ADV.

**Is Goggans Group Inc registered with the SEC or a state?**
Goggans Group Inc is a state-registered investment advisory firm, registered since 2016. Status as filed: APPROVED. CRD 155039.

**How much does Goggans Group Inc manage?**
Goggans Group Inc reports $15,772,726 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (100% discretionary).

**What types of clients does Goggans Group Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (52); high net worth individuals (7).

**Does Goggans Group Inc report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), and 11.H(1)(a) (court injunction in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/155039

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $15,772,726
- Discretionary: $15,772,726
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 52 | $11,987,720 |
| High net worth individuals | 7 | $3,785,006 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | Not reported | $0 |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2016 (10 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.H(1)(a): In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/155039

### Websites listed on Form ADV (Item 1.I)
- goggansgroup.com
- Facebook @GOGGANSGROUP
- LinkedIn @goggansgroup
- X @GOGGANSGROUP

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Goggans Group Inc (CRD 155039): Form ADV filing data as of October 2026.