Higgins Capital Management, Inc.

Broker-DealerFINRA Member
Total AUM
$7.7M
Discretionary
$6.1M
79% of AUM
Accounts
11
Employees
2
Advisory reps
2
Brokerage reps
2

Firm details

Headquarters
La Jolla, California
CRD number
39985
Registered since
February 18, 1997
Custodians
RBC CAPITAL MARKETS, LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI85.52%
  • Individuals14.48%
Services
Portfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Higgins Capital Management, Inc. is a small, California-registered corporate advisory firm that serves individual and family clients. Ownership is reported as an individual proprietor rather than an institutional owner. The firm provides discretionary portfolio management for individuals and small businesses and also offers manager selection services, indicating it both constructs portfolios and sources third-party investment managers on behalf of clients. Higgins operates with multiple fee arrangements — percentage of assets under management, hourly charges and fixed fees — and conducts broker-dealer and insurance broker activities alongside its advisory work. The firm is identified as a capital allocator and does not list ESG investing as an active part of its process. It is not structured as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 38%, Cash & Cash Equivalents 35%, Exchange Traded Equities 27%38%
  • Public Funds/Mutual Funds38%
  • Cash & Cash Equivalents35%
  • Exchange Traded Equities27%

Owners & executives

1 of 1
  • Raymond Higgins

    Raymond Higgins

    CEO and Co-FounderCRD 1250444

Contacts

1 of 1
  • Deborah Higgins

    Deborah Higgins

    President, Co-FounderCRD 1220543

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

La Jolla, CA

San Bernardino

Location

La Jolla, CA

Headquartered in La Jolla, CA, anchoring the Riverside-San Bernardino-Ontario, CA metro in the West.

Metro area
Riverside-San Bernardino-Ontario, CA
Region
West
County
San Bernardino
Address
2223 De Lane Playa
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth