Hedge Fund Database

HIGHLAND ASSOCIATES INC

Adviser information for HIGHLAND ASSOCIATES INC last updated from Form ADV on March 26th, 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 Alabama, United States

Employees

Total Number of Employees 19
Investment Advisory/Research 18
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 3
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 30 $14.3B
Non-Discretionary 31 $9.3B
Total 61 $23.6B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 6 $6.3B
Pension and profit sharing plans 15 $4.7B
Charitable organizations 17 $538.3M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 6 $1.0B
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 23 $11.0B
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-30248
SEC ERA File Number 801-30248
SEC CIK Numbers 716187
SEC CRD Numbers 104948
Legal Entity Identifier 5493004QIWM8VTDE0J98

Principal Office

2545 HIGHLAND AVENUE SOUTH
SUITE 200
BIRMINGHAM
AL
United States
Monday - Friday, 8 AM UNTIL 5 PM
Tel: 205-933-8664, Fax: 205-933-7688

Websites

twitter.com/highland_assoc www.linkedin.com/company/highland-associates-birmingham-al/ www.highlandassoc.com

Chief Compliance Officer

AMANDA POE
CCO
2545 HIGHLAND AVENUE SOUTH
SUITE 200
BIRMINGHAM
AL
United States
Tel: 205-933-8664
Fax: 205-933-7688
(Full email address available in API data)

Regulatory Contact

JACK W. ECHOLS III
PRESIDENT AND CHAIRMAN OF THE BOARD
2545 HIGHLAND AVENUE SOUTH
SUITE 200
BIRMINGHAM
AL
United States
Tel: 205-933-8664
Fax: 205-933-7688
(Full email address available in API data)

Industry Affiliates

BLACKARCH SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
REGIONS BANK Banking or thrift institution
REGIONS FINANCIAL CORPORATION Banking or thrift institution
REGIONS INVESTMENT MANAGEMENT, INC. Other investment adviser, including financial planners
REGIONS SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
RFC FINANCIAL SERVICES HOLDINGS LLC Banking or thrift institution

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CAHABA PARTNERS CORE FIXED INCOME FUND FIXED INCOME $1,642.2M $1.0M 14
CAHABA PARTNERS EQUITY PLUS FUND EQUITY PLUS $2,812.0M $1.0M 18
CAHABA PARTNERS PUBLIC INFLATION HEDGES FUND PUBLIC INFLATION HEDGE $513.1M $1.0M 18
CAHABA PARTNERS TACTICAL EQUITY PROGRAM TACTICAL FUND $896.6M $1.0M 18
CAHABA PARTNERS TOTAL RETURN FUND TOTAL RETURN $307.4M $1.0M 1

Control Persons

Name Type Entity Title Since Ownership
ECHOLS, JACK, W Individual – PRESIDENT AND CEO 09/2014 < 5%
DANIEL, PAIGE, BRISCOE Individual – MANAGING DIRECTOR 09/2014 < 5%
POE, AMANDA, HORNER Individual – CCO 02/2016 < 5%
RALPH, ERIC, JASON Individual – MANAGING DIRECTOR 01/2018 < 5%
REGIONS BANK Domestic Entity – DIRECT OWNER 08/2019 > 75%
REGIONS FINANCIAL CORPORATION Domestic Entity REGIONS BANK INDIRECT OWNER 08/2019 > 75%
PETERSON, JOHN, DEREK Individual – MANAGING DIRECTOR 12/2021 < 5%
GRIMM, CHRISTIAN, CHARLES Individual – MANAGING DIRECTOR 07/2022 < 5%
SEALOCK, SCOTT, WILLIAM Individual – MANAGING DIRECTOR 08/2023 < 5%

No. Employees, Historic

30150201920202021202220232024202529 on 8/9/201929 on 8/22/201929 on 9/4/201927 on 3/31/202027 on 5/19/202027 on 12/4/202025 on 3/30/202123 on 3/31/202223 on 4/5/202220 on 5/10/202220 on 6/13/202220 on 6/28/202220 on 8/1/202220 on 9/26/202220 on 11/8/202220 on 11/29/202218 on 3/29/202320 on 10/19/202320 on 10/31/202319 on 3/26/2024

RAUM, Historic

40B20B0201920202021202220232024202525891591899 on 8/9/201925891591899 on 8/22/201925891591899 on 9/4/201929391930973 on 3/31/202029391930973 on 5/19/202029391930973 on 12/4/202031945447000 on 3/30/202136484774214 on 3/31/202236484774214 on 4/5/202236484774214 on 5/10/202236484774214 on 6/13/202236484774214 on 6/28/202236484774214 on 8/1/202236484774214 on 9/26/202236484774214 on 11/8/202236484774214 on 11/29/202225621167078 on 3/29/202325621167078 on 10/19/202325621167078 on 10/31/202323574716836 on 3/26/2024

No. Clients, Historic

90450201920202021202220232024202581 on 8/9/201981 on 8/22/201981 on 9/4/201984 on 3/31/202084 on 5/19/202084 on 12/4/202078 on 3/30/202177 on 3/31/202277 on 4/5/202277 on 5/10/202277 on 6/13/202277 on 6/28/202277 on 8/1/202277 on 9/26/202277 on 11/8/202277 on 11/29/202276 on 3/29/202376 on 10/19/202376 on 10/31/202367 on 3/26/2024

Holdings

From latest 13F, filed August 8th, 2019 for period ending June 30th, 2019
Name Class Value $USD # Shares Private Fund
ISHARES TR Core S&P500 ETF 526M 2M –
ISHARES TR GLB INFRASTR ETF 31M 663K –
CELGENE CORP COM 21M 229K –
MASTERCARD INC CL A 23M 87K –
ALPHABET INC CAP STK CL A 51M 47K –
GILEAD SCIENCES INC COM 42M 617K –
MONDELEZ INTL INC CL A 5M 90K –