SourcingSourcing

HIGGINBOTHAM RETIREMENT ADVISORS, INC.

C40
CRD 128561·SEC 801-62750·HOUSTON, TX
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HIGGINBOTHAM RETIREMENT ADVISORS, INC.
CRD
128561
SEC file #
801-62750
EIN
—
DBA names
—

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
Pension Profit Sharing Plans58

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
3 advisors → 2 advisors▼ -33%
Primary office
HOUSTON TX
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Pension consulting
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
04/24/2026
ADV-W filed at
—
Website
higginbotham.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HIGGINBOTHAM FINANCIAL
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
HIGGINBOTHAM FINANCIAL
BARHORST, WARREN, EDWARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
HIGGINBOTHAM.COM
Rdap Domain Creation Date
1996-06-04T04:00:00Z
Rdap Firm Age Years
30
Rdap Firm Age Band
20+y
Rdap Registrar
NetEarth One Inc. d/b/a NetEarth

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2098
Soi Zip Pct 200k Plus
0.0884
Soi Zip Returns 200k Plus
1,530
Soi Zip Total AGI
1,602,144
Fdic Zip Total Deposits
15,123,751,000
Fdic Zip Branch Count
119
Fdic Zip Top Banks
Central Bank
Texas Capital Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (23)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
Wells Fargo Bank (Texas), National AssociationBellaire, TX
Wells Fargo Bank (Texas), National AssociationBellaire, TX
Fdic Zip HHI
2480.11
Fdic Zip Top Bank Share Pct
38.82
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2032-06-03T04:00:00Z
Rdap Domain Last Changed
2023-01-24T15:37:00Z
Rdap Nameservers
David.ns.cloudflare.comNoor.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI71,701
Returns5,590
Stub 2
AGI154,162
Returns4,240
Stub 3
AGI152,918
Returns2,500
Soi Zip Total Business Income
65,073
Soi Zip Total Cap Gains
125,989
Soi Zip Total Dividends
39,450
Soi Zip Total Returns
17,300
Trust Company Affiliate
No

People (10)

10
GAUDETTE, GAYLA, BERRY
IAR · Executive Officer · 2.5%
2983933
WARREN EDWARD BARHORST
Executive Officer · 2.5%
2570446
Andrew Ralph Reutter
Executive Officer · 2.5%
7123902
Carmichael, Ross
Executive Officer · 2.5%
7343315
Haas, Anthony, James
Executive Officer · 2.5%
5601855
John Michael Ivan
Executive Officer · 2.5%
1292150
JARROD BLACE MENDELL
IAR
6894185
POORE, MEGAN, KELLY
IAR
4604034
DOBBS, HAL, BLECKLEY
IAR
4827211
GRANGE, CATHRYN
IAR
2668514