# Higgins Capital Management, Inc.

> Higgins Capital Management, Inc. is a state-registered investment advisory firm in La Jolla, CA, registered since 2002, reporting under $25 million in regulatory assets under management in its Form ADV filing dated February 18, 2026.

- CRD: 39985
- Filed as: HIGGINS CAPITAL MANAGEMENT, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: La Jolla, CA
- Filing period: October 2026
- Form ADV filing dated: February 18, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/39985
- AdvisorCensus page: https://advisorcensus.com/firm/higgins-capital-management-inc-la-jolla-ca-39985

## Quick answers

**How is Higgins Capital Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Higgins Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Higgins Capital Management, Inc. located?**
Higgins Capital Management, Inc.'s principal office is in La Jolla, CA, according to its Form ADV.

**Is Higgins Capital Management, Inc. registered with the SEC or a state?**
Higgins Capital Management, Inc. is a state-registered investment advisory firm, registered since 2002. Status as filed: APPROVED. CRD 39985.

**How much does Higgins Capital Management, Inc. manage?**
Higgins Capital Management, Inc. reports $7,691,264 in regulatory assets under management in its Form ADV filing dated February 18, 2026 (79% discretionary).

**What types of clients does Higgins Capital Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (6); individuals (other than high net worth individuals) (5).

**Does Higgins Capital Management, Inc. report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.A(2) (felony charge 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/39985

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $7,691,264
- Discretionary: $6,113,064
- Non-discretionary: $1,578,200

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5 | $1,113,710 |
| High net worth individuals | 6 | $6,577,554 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2002 (24 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?

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/39985

### Websites listed on Form ADV (Item 1.I)
- higginscapital.com
- Facebook @higginscapital
- LinkedIn @42679137

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Higgins Capital Management, Inc. (CRD 39985): Form ADV filing data as of October 2026.