HIGGINS & SCHMIDT WEALTH STRATEGIES LLC
Adviser information for HIGGINS & SCHMIDT WEALTH STRATEGIES LLC last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 805 | $184.8M |
| Non-Discretionary | 0 | $0 |
| Total | 805 | $184.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 133 | $53.6M |
| HNW Individuals | 72 | $130.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 3 | $736,131 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 184.8M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| HIGGINS & SCHMIDT WEALTH STRATEGIES LLC | HIGGINS & SCHMIDT WEALTH STRATEGIES LLC |
Identifiers
| SEC RIA File Number | 801-119622 |
|---|---|
| SEC ERA File Number | 801-119622 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 286063 |
| Legal Entity Identifier | None |
Principal Office
1934 MARKET STREETDENVER
CO
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (720) 287-0918, Fax: (888) 431-0490
Chief Compliance Officer
MOLLY JEANNE COOPER
CHIEF COMPLIANCE OFFICER
1934 MARKET STREET
DENVER
CO
United States
Tel:
(720) 287-0918
Fax:
(888) 431-0490
M****@***************M
(Full email address available in API data)
Regulatory Contact
STEVEN GRANT HIGGINS
MEMBER
1934 MARKET STREET
DENVER
CO
United States
Tel:
(720) 287-0918
Fax:
(888) 431-0490
S*****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALLISON L SCHMIDT INC | Domestic Entity | – | MEMBER | 12/2015 | 50-75% |
| HIGGINS, STEVEN, GRANT | Individual | – | MEMBER | 12/2015 | 50-75% |
| COOPER, MOLLY, JEANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2016 | < 5% |
| SCHMIDT, ALLISON, LOUISE | Individual | ALLISON L SCHMIDT INC | MEMBER | 12/2015 | > 75% |