Higgins & Schmidt Wealth Strategies LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$277,702,054
Clients
235
Advisors
3
of 5 employees
About
Higgins & Schmidt Wealth Strategies LLC provides discretionary portfolio management to individuals (including high-net-worth clients), charitable organizations, and business entities, overseeing about $279 million for roughly 235 client accounts with a four-advisor team. The firm prepares an Investment Policy Statement for each client and advises across mutual funds, equities, fixed income, ETFs, unit investment trusts and structured products.
HSWS bases its investment process on modern portfolio theory and a long-term trading orientation, and its implementation can include margin and options strategies (including covered and uncovered options). The firm generally manages accounts on a discretionary basis, documents client risk tolerance in the IPS, and conducts account reviews at least every 18 months.
Notably, several of the firm’s investment adviser representatives are also registered representatives of LPL Financial LLC, HSWS requires clients to use LPL as custodian, and the firm acts as sponsor and portfolio manager for a wrap-fee program that bundles management and transaction services. The brochure also discloses that some representatives are licensed to sell insurance products and may receive commissions for those sales, a relationship the firm describes alongside its fiduciary duties.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.50% annually (flat fee) $1 - $1,500,000: 1.25% annually $1,500,000.01 - $3,000,000: 1.00% annually $3,000,000.01 - $10,000,000: 0.50% annually $10,000,000.01+: 0.25% annually
Account minimum: $500,000 Fee-only: Flat-fee Portfolio Management Services Fee of 1.50% annually for AUM up to $1,000,000; tiered percentage fees for AUM above $1,000,000
Main office
1934 Market Street
Denver CO 80202
Advisors at this office
3
Most active in
California · Colorado · Illinois · Texas
Also doing business as
Hd Wealth Strategies, LLC · Higgins & Schmidt Wealth Strategies LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Molly C
CFP®, Series 66
Denver, CO
Higgins & Schmidt Wealth Strategies LLC
Molly Cooper is a Certified Financial Planner® with 13 years of experience, currently advising at Higgins & Schmidt Wealth Strategies LLC in Denver, CO. Her prior experience includes roles at LPL Financial LLC, Raymond James Financial Services, and Edward Jones. Higgins & Schmidt Wealth Strategies LLC manages discretionary portfolios for individuals, charitable organizations, and business entities, following a modern portfolio theory approach with a long-term trading orientation. The firm’s four advisors oversee approximately $279 million across about 235 client accounts.
Allison S
CFP®, Series 66
Denver, CO
Higgins & Schmidt Wealth Strategies LLC
Allison Schmidt is a CFP® professional with 17 years of experience in the financial industry. She is a principal at Higgins & Schmidt Wealth Strategies LLC, where she has worked since 2010, and has prior experience at Raymond James Financial Services and Edward Jones. Higgins & Schmidt Wealth Strategies LLC provides discretionary portfolio management services to individuals, charitable organizations, and businesses. The firm follows a long-term investment approach based on modern portfolio theory and manages approximately $279 million across a four-advisor team.
Laura S
Series 65
Denver, CO
Higgins & Schmidt Wealth Strategies LLC
Laura Schmidt is a financial advisor at Higgins & Schmidt Wealth Strategies LLC in Denver, CO, holding a Series 65 designation with one year of industry experience. Prior to joining Higgins & Schmidt, she worked at TGRP Solutions, Band-It IDEX, Envestnet, Inc, and RSM US LLP. Higgins & Schmidt Wealth Strategies LLC provides discretionary portfolio management to individuals, charitable organizations, and business entities, managing approximately $279 million across 235 client accounts. The firm bases its investment approach on modern portfolio theory with a long-term trading orientation and offers services that include mutual funds, equities, fixed income, ETFs, and options strategies.
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