HILLTOP SECURITIES ASSET MANAGEMENT, LLC
Adviser information for HILLTOP SECURITIES ASSET MANAGEMENT, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 29 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 12 |
| Registered State Investment Advisers | 12 |
| 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 | 0 | $0 |
| Non-Discretionary | 51 | $27.2B |
| Total | 51 | $27.2B |
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 | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 51 | $27.2B |
| 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 | 51 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsEducational seminars/workshopsINVESTMENT POLICY REVIEW; PORTFOLIO REVIEW; BIDDING AGENT SRVCS AND ARBITRAGE, REBATE |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesFIXED TRANSACTION FEE BASED ON A CONTRACTUAL FEE SCHEDULE |
| Other Business Activities | INV. MGMT AND RELATED SVCS FOR PUBLIC ENTITIES |
Identifiers
| SEC RIA File Number | 801-40189 |
|---|---|
| SEC ERA File Number | 801-40189 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110760 |
| Legal Entity Identifier | None |
Principal Office
717 N. HARWOOD STREETSUITE 3400
DALLAS
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 214-953-4000, Fax: None
Chief Compliance Officer
SCOTT COYA
CHIEF COMPLIANCE OFFICER
717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
United States
Tel:
214-953-4000
S*********@********************M
(Full email address available in API data)
Regulatory Contact
MARIE BURGETT
COMPLIANCE OFFICER
717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
United States
Tel:
214-953-4053
M************@********************M
(Full email address available in API data)
Industry Affiliates
| HILLTOP HOLDINGS INC. | Banking or thrift institution |
| HILLTOP SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorMajor security-based swap participantCommodity pool operator or commodity trading advisor |
| HILLTOP SECURITIES INSURANCE AGENCY INC. | Insurance company or agency |
| MOMENTUM INDEPENDENT NETWORK INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| SOUTHWEST FINANCIAL INSURANCE AGENCY, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MEDANICH, DAVID, KING | Individual | – | PRESIDENT | 06/2007 | < 5% |
| FIRST SOUTHWEST HOLDING, L.L.C. | Domestic Entity | – | PARENT COMPANY | 01/2009 | > 75% |
| HILLTOP HOLDINGS INC. | Domestic Entity | HILLTOP SECURITIES HOLDINGS, LLC | PARENT | 01/2015 | > 75% |
| HILLTOP SECURITIES HOLDING, LLC | Domestic Entity | FIRST SOUTHWEST HOLDINGS, LLC | PARENT | 01/2015 | > 75% |
| EDGE, JOSEPH, MICHAEL | Individual | – | CHIEF FINANCIAL OFFICER | 02/2016 | < 5% |
| MEDANICH, DAVID, KING | Individual | – | BOARD MANAGER | 05/2007 | < 5% |
| WITTNEBEN, BRIAN, LANE | Individual | – | SECRETARY/GENERAL COUNSEL | 09/2009 | < 5% |
| WINGES, MARTIN, BRADLEY | Individual | – | CEO | 03/2021 | < 5% |
| COYA, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| WINGES, MARTIN, BRADLEY | Individual | – | CHAIRMAN OF THE BOARD | 03/2021 | < 5% |