OHIGGINS ASSET MANAGEMENT INC

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Florida, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	82	$58.4M
Non-Discretionary	4	$97.0M
Total	86	$155.3M

Clients

Type	Number	RAUM
Individuals	62	$5.0M
HNW Individuals	12	$7.2M
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	<5	$97.0M
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	8	$46.2M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	3
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUMFixed feesPerformance-based fees

Identifiers

SEC RIA File Number	801-119691
SEC ERA File Number	801-119691
SEC CIK Numbers	None
SEC CRD Numbers	107194
Legal Entity Identifier	None

Principal Office

6113 LAGUNA DR. W
MIAMI BEACH
FL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic