# Higgins & Schmidt Wealth Strategies LLC > Higgins & Schmidt Wealth Strategies LLC is an SEC-registered investment advisory firm in Denver, CO, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 17, 2026. - CRD: 286063 - Filed as: HIGGINS & SCHMIDT WEALTH STRATEGIES LLC - Registration: SEC-registered investment adviser (status as filed: Approved) - Location: Denver, CO - Filing period: October 2026 - Form ADV filing dated: March 17, 2026 - SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/286063 - AdvisorCensus page: https://advisorcensus.com/firm/higgins-and-schmidt-wealth-strategies-llc-denver-co-286063 ## Quick answers **How is Higgins & Schmidt Wealth Strategies LLC compensated?** On its Form ADV (Item 5.E, October 2026), Higgins & Schmidt Wealth Strategies LLC reports these compensation arrangements: a percentage of assets under its management. **Where is Higgins & Schmidt Wealth Strategies LLC located?** Higgins & Schmidt Wealth Strategies LLC's principal office is in Denver, CO, according to its Form ADV. **Is Higgins & Schmidt Wealth Strategies LLC registered with the SEC or a state?** Higgins & Schmidt Wealth Strategies LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 286063. **How much does Higgins & Schmidt Wealth Strategies LLC manage?** Higgins & Schmidt Wealth Strategies LLC reports $279,455,572 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (100% discretionary). **How have Higgins & Schmidt Wealth Strategies LLC's assets and staff changed since 2021?** In the Form ADV data for Higgins & Schmidt Wealth Strategies LLC: Regulatory assets under management: $112,566,856 in the October 2021 data and $279,455,572 in the October 2026 data, up 148%. Total employees: 4 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going. **What types of clients does Higgins & Schmidt Wealth Strategies LLC serve?** By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (133); high net worth individuals (102); corporations or other businesses not listed above (4). **Which custodians does Higgins & Schmidt Wealth Strategies LLC use?** Higgins & Schmidt Wealth Strategies LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets. **Does Higgins & Schmidt Wealth Strategies LLC 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/286063 **Does Higgins & Schmidt Wealth Strategies LLC state an account minimum?** Its Form ADV Part 2A brochure dated March 17, 2026 says: "There is an account minimum of $500,000, which may be waived by HSWS in its discretion." **What changed in Higgins & Schmidt Wealth Strategies LLC's recent Form ADV filings?** In the April 2026 filing data: Regulatory assets under management went from $215,146,264 to $279,455,572 (+30%). 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 ### Fees and minimums (Form ADV Part 2A brochure dated March 17, 2026) - Account minimum: $500,000 (the brochure says it may be waived or negotiated) > There is an account minimum of $500,000, which may be waived by HSWS in its discretion. As stated in the firm's brochure. Fees can differ by service and may be negotiable. ### Custodians (Schedule D, Section 5.K(3)) - LPL Financial LLC Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian. ### Regulatory assets under management (Item 5.F) - Total: $279,455,572 - Discretionary: $279,455,572 - Non-discretionary: $0 ### Clients (Item 5.D) | Client type | Clients | Assets | | --- | --- | --- | | Individuals (other than high net worth individuals) | 133 | $51,740,681 | | High net worth individuals | 102 | $225,961,373 | | Banking or thrift institutions | 0 | $0 | | Investment companies | 0 | $0 | | Business development companies | 0 | $0 | | Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 | | Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 | | Charitable organizations | 0 | $0 | | State or municipal government entities (including government pension plans) | 0 | $0 | | Other investment advisers | 0 | $0 | | Insurance companies | 0 | $0 | | Sovereign wealth funds and foreign official institutions | 0 | $0 | | Corporations or other businesses not listed above | 4 | $1,753,518 | | Other | 0 | $0 | ### Advisory services (Item 5.G) - Financial planning services - Portfolio management for individuals and/or small businesses ### Firm details - Registered since: 2020 (5 years) - Employees: 6 total, 3 performing advisory functions - Wrap fee program participation: Yes - States registered or notice-filed: CA, CO, IL, TX - Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11. ### Websites listed on Form ADV (Item 1.I) - hswscolorado.com - Facebook @HSWScolorado - Instagram @higgins_and_schmidt - LinkedIn @higgins-schmidt-wealth-strategies - YouTube @higginsschmidtwealthstrate9103 ## Assets and staff over time | Data period | Regulatory assets under management | Employees | Filing dated | | --- | --- | --- | --- | | October 2021 | $112,566,856 | 4 | April 6, 2021 | | October 2022 | $141,606,458 | 5 | September 15, 2022 | | October 2023 | $144,815,508 | 4 | April 19, 2023 | | October 2024 | $184,842,898 | 4 | March 14, 2024 | | October 2025 | $215,146,264 | 5 | March 24, 2025 | | October 2026 | $279,455,572 | 6 | March 17, 2026 | Regulatory assets under management: $112,566,856 in the October 2021 data and $279,455,572 in the October 2026 data, up 148%. Total employees: 4 in October 2021 and 6 in October 2026. ## Changes in the filing (last 12 months) ### April 2026 - Regulatory assets under management went from $215,146,264 to $279,455,572 (+30%). - Updated its list of owners and control persons (Schedule A). ### January 2026 - Registered or notice-filed in CA. - No longer registered or notice-filed in NH. ## Source Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Higgins & Schmidt Wealth Strategies LLC (CRD 286063): Form ADV filing data as of October 2026.