# 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.

- CRD: 128561
- Filed as: HIGGINBOTHAM RETIREMENT ADVISORS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Houston, TX
- Filing period: October 2026
- Form ADV filing dated: August 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/128561
- AdvisorCensus page: https://advisorcensus.com/firm/higginbotham-retirement-advisors-inc-houston-tx-128561

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated April 24, 2026)

- Asset-based fee: 0.01% to 0.5% a year (a range, as the brochure states it)

> 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 brochure. Fees can differ by service and may be negotiable.

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | Not reported |
| High net worth individuals | 0 | Not reported |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 58 | $0 |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |

### Advisory services (Item 5.G)
- Pension consulting services

### Firm details
- Registered since: 2004 (22 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: LA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- higginbotham.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 2 | February 25, 2021 |
| October 2022 | Not reported | 2 | January 20, 2022 |
| October 2023 | Not reported | 2 | March 2, 2023 |
| October 2024 | Not reported | 2 | January 21, 2024 |
| October 2025 | Not reported | 3 | March 27, 2025 |
| October 2026 | Not reported | 3 | August 26, 2026 |

Total employees: 2 in October 2021 and 3 in October 2026.

## 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Higginbotham Retirement Advisors, Inc. (CRD 128561): Form ADV filing data as of October 2026.