HIGHLAND CAPITAL MANAGEMENT, L.P.
Adviser information for HIGHLAND CAPITAL MANAGEMENT, L.P. last updated from Form ADV on March 29th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 23 | $126.7M |
| Non-Discretionary | 0 | $0 |
| Total | 23 | $126.7M |
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 | 22 | $124.5M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $2.3M |
| 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 | 0 |
| No. of Non-U.S. Clients | 87 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-54874 |
|---|---|
| SEC ERA File Number | 801-54874 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110126 |
| Legal Entity Identifier | 549300BKFQI8M03HT187 |
Principal Office
100 CRESCENT COURTSUITE 1850
DALLAS
TX
United States
Monday - Friday, BY APPOINTMENT
Tel: 972-628-4100, Fax: 972-637-9197
Chief Compliance Officer
THOMAS SURGENT
GENERAL COUNSEL AND CCO
100 CRESCENT COURT
SUITE 1850
DALLAS
TX
United States
Tel:
972-419-6205
T*******@******************M
(Full email address available in API data)
Industry Affiliates
| HIGHLAND CAPITAL MANAGEMENT KOREA LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| HIGHLAND MULTI STRATEGY CREDIT FUND GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| HIGHLAND RESTORATION CAPITAL PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HIGHLAND MULTI STRATEGY CREDIT FUND, L.P. | Hedge Fund | $48.9M | $1.0M | 3 |
| HIGHLAND RESTORATION CAPITAL PARTNERS MASTER, LP | Private Equity Fund | $28.5M | $10.0M | 6 |
| HIGHLAND RESTORATION CAPITAL PARTNERS, L.P. | Private Equity Fund | $23.3M | $10.0M | 5 |
| STONEBRIDGE-HIGHLAND HEALTHCARE PRIVATE EQUITY FUND | Private Equity Fund | $95.0M | $0.0M | 7 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SURGENT, THOMAS, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | 10/2011 | < 5% |
| Seery, James, Patrick | Individual | HIGHLAND CLAIMANT TRUST | CLAIMANT TRUSTEE | 08/2021 | |
| Seery, James, Patrick | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF RESTRUCTURING OFFICER | 03/2020 | < 5% |
| Klos, David, Kelly | Individual | – | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | 02/2021 | < 5% |
| HIGHLAND CLAIMANT TRUST | Domestic Entity | – | SOLE LIMITED PARTNER | 08/2021 | > 75% |
| HCMLP GP LLC | Domestic Entity | – | GENERAL PARTNER | 08/2021 | < 5% |
| HIGHLAND CLAIMANT TRUST | Domestic Entity | HCMLP GP LLC | MANAGING MEMBER | 08/2021 | > 75% |