HIGH PLAINS INVESTMENT ADVISORS, INC.
Adviser information for HIGH PLAINS INVESTMENT ADVISORS, INC. last updated from Form ADV on February 19th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 417 | $146.7M |
| Non-Discretionary | 0 | $0 |
| Total | 417 | $146.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 101 | $26.5M |
| HNW Individuals | 23 | $57.0M |
| 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 | 10 | $63.2M |
| 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshopsCONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-126221 |
|---|---|
| SEC ERA File Number | 801-126221 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114404 |
| Legal Entity Identifier | None |
Principal Office
7021 KEWANEE AVE.SUITE 5-102
LUBBOCK
TX
United States
Monday - Friday, 8-5
Tel: 806-793-7934, Fax: None
Chief Compliance Officer
TIMOTHY D. MACK
PRESIDENT
7021 KEWANEE AVE.
SUITE 5-102
LUBBOCK
TX
United States
Tel:
806-793-7934
T**@***************M
(Full email address available in API data)
Regulatory Contact
BRAD PRUITT
VICE PRESIDENT
7021 KEWANEE AVE.
SUITE 5-102
LUBBOCK
TX
United States
Tel:
(806) 793-7934
B***@***************M
(Full email address available in API data)
Industry Affiliates
| TIMOTHY D. MACK, CPA | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MACK, TIMOTHY, DREW | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 05/1998 | > 75% |
| PRUITT, BRAD, ALEXANDER | Individual | – | VICE PRESIDENT | 01/2013 | 10-25% |