AdvisorCensus / Financial advisors / Texas / Houston / Higginbotham Retirement Advisors, Inc.
Higginbotham Retirement Advisors, Inc.
Filed as HIGGINBOTHAM RETIREMENT ADVISORS, INC.
Higginbotham Retirement Advisors, Inc. is an SEC-registered investment advisory firm in Houston, TX, registered since 2004, with no regulatory assets under management reported in its Form ADV filing dated August 26, 2026.
Quick answers
From the filingHow is Higginbotham Retirement Advisors, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Higginbotham Retirement Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
How much does Higginbotham Retirement Advisors, Inc. charge?
Its Form ADV Part 2A brochure dated April 24, 2026 states: Asset-based fee: 0.01% to 0.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Higginbotham Retirement Advisors, Inc. located?
Higginbotham Retirement Advisors, Inc.'s principal office is in Houston, TX, according to its Form ADV.
Is Higginbotham Retirement Advisors, Inc. registered with the SEC or a state?
Higginbotham Retirement Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 128561.
How have Higginbotham Retirement Advisors, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Higginbotham Retirement Advisors, Inc.: Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Higginbotham Retirement Advisors, Inc. serve?
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (58).
Does Higginbotham Retirement Advisors, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/128561
What changed in Higginbotham Retirement Advisors, Inc.'s recent Form ADV filings?
In the September 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 0.01% to 0.5% a year (a range, as the brochure states it)
The brochure's wording
Our annual consulting fees typically range from .01% to .50% of plan assets depending on size and complexity of the plan.
As stated in the firm's Form ADV Part 2A brochure dated April 24, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Pension consulting services
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2004 (22 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | 3 | August 26, 2026 |
| October 2025 | Not reported | 3 | March 27, 2025 |
| October 2024 | Not reported | 2 | January 21, 2024 |
| October 2023 | Not reported | 2 | March 2, 2023 |
| October 2022 | Not reported | 2 | January 20, 2022 |
| October 2021 | Not reported | 2 | February 25, 2021 |
Total employees: 2 in October 2021 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- September 2026
- Updated its list of owners and control persons (Schedule A).
- March 2026
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Higginbotham Retirement Advisors, Inc. (CRD 128561): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/higginbotham-retirement-advisors-inc-houston-tx-128561