Thursday, October 22, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Asset manager · Houston, TX

Higginbotham Retirement Advisors, Inc.

SEC-registered investment adviser · CRD 128561 · SEC 801-62750

At a glance

Higginbotham Retirement Advisors, Inc. is an SEC-registered investment adviser based in Houston, Texas, with $0 in regulatory assets under management as of its Form ADV filed August 26, 2026. By Form ADV it is a asset manager, ranked 2,617th of 3,218 asset managers and 16,593rd of 17,210 SEC-registered advisers by assets.

Main office 713-952-9990higginbotham.comAs filed on Form ADV

Regulatory AUM
$0M
Rank among asset managers
#2,617 of 3,218
Rank among all SEC RIAs
#16,593 of 17,210
Rank in Texas
#1,057 of 1,081
Clients
58
Accounts
0
Discretionary
0% of AUM
Employees
3
Advisory staff
2
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Higginbotham Retirement Advisors, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Affiliated broker-dealer

It names an affiliated broker-dealer: Higginbotham Securities LLC.

Other RIAs with an affiliated broker-dealer

Who it serves

Client typeClientsRegulatory AUMShare
Pension and profit sharing plans58$0M–

Disciplinary disclosures

Higginbotham Retirement Advisors, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Pension consulting

How it’s paid

  • A percentage of assets under management
  • Fixed fees

Form ADV and brochures on the SEC’s adviser search ↗higginbotham.com ↗

AtlasMembers

The full record on Higginbotham Retirement Advisors, Inc.

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
Locked
Growth over one, three and five years
Locked
Rank against 626 peers of its type and size
Locked
Owners and executives, with titles and stakes
6 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Higginbotham Retirement Advisors, Inc. manage?

Higginbotham Retirement Advisors, Inc. reports $0 in regulatory assets under management, on its Form ADV filed August 26, 2026.

What kind of firm is Higginbotham Retirement Advisors, Inc.?

Higginbotham Retirement Advisors, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.

Who are Higginbotham Retirement Advisors, Inc.’s clients?

By assets, its largest client types are pension and profit sharing plans ($0, 58 clients).

Does Higginbotham Retirement Advisors, Inc. have any disciplinary history?

Higginbotham Retirement 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 Higginbotham Retirement 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 (2026-08-26), 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 →