Hedge Fund Database

HILLTOP SECURITIES INC.

Adviser information for HILLTOP SECURITIES INC. last updated from Form ADV on March 28th, 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 Delaware, United States

Employees

Total Number of Employees 113
Investment Advisory/Research 113
Registered Broker-Dealer Representatives 113
Registered State Investment Advisers 113
Licensed Agents of an Insurance Company 69
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,385 $1.4B
Non-Discretionary 1,161 $500.0M
Total 4,546 $1.9B

Clients

Type Number RAUM
Individuals 1,372 $429.2M
HNW Individuals 944 $1.4B
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 5 $39.5M
Charitable organizations 2 $2.8M
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 20 $12.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 9
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMHourly chargesFixed fees12B-1 FEES
Other Business Activities Broker-dealerCommodity pool operator or commodity trading advisorInsurance broker or agentRegistered municipal advisorMajor security-based swap participant

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 1.1B
Portfolio Manager 654.6M
Both for Same 0
Portfolio Manager to Program Sponsor
GATEWAY - FUND STRATEGIST PORTFOLIOS HILLTOP SECURITIES INC.
OUTSIDE MANAGER ACCESS HILLTOP SECURITIES INC.
PASSPORT SERIES SMA HILLTOP SECURITIES INC.
CO-PILOT HILLTOP SECURITIES INC.
COMPASS UMA PROGRAM HILLTOP SECURITIES INC.
AVIATOR HILLTOP SECURITIES INC.
MOMENTUM PATHWAYS UMA HILLTOP SECURITIES INC.
ENDEAVOR ACTIVEPASSIVE HILLTOP SECURITIES INC.
DESTINATION FEE-BASED ANNUITY HILLTOP SECURITIES INC.

Identifiers

SEC RIA File Number 801-55529
SEC ERA File Number 801-55529
SEC CIK Numbers 891055
SEC CRD Numbers 6220
Legal Entity Identifier 549300IXU82PMU6XZT45

Principal Office

717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 214-859-1800, Fax: 214-859-6497

Websites

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Chief Compliance Officer

SCOTT COYA
CHIEF COMPLIANCE OFFICER
717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
United States
Tel: 214-859-1540
(Full email address available in API data)

Regulatory Contact

LORNE STANDIFER
MANAGER, COMPLIANCE
717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
United States
Tel: 215-859-1064
(Full email address available in API data)

Industry Affiliates

HILLTOP SECURITIES ASSET MANAGEMENT, LLC Other investment adviser, including financial plannersRegistered municipal 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
PLANISCAPITAL BANK Banking or thrift institution
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
LEVENTHAL, LAURA Individual – BOARD DIRECTOR 09/2013 < 5%
HILLTOP SECURITIES HOLDINGS, LLC Domestic Entity – PARENT 01/2015 > 75%
HILLTOP HOLDINGS INC. Domestic Entity HILLTOP SECURITIES HOLDINGS, LLC PARENT 01/2015 > 75%
MUSCHALEK, JOHN RICHARD Individual – BOARD DIRECTOR 03/2015 < 5%
EDGE, JOSEPH MICHAEL Individual – CHIEF FINANCIAL OFFICER 01/2016 < 5%
LEVENTHAL, LAURA Individual – TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER 12/2011 < 5%
WITTNEBEN, BRIAN LANE Individual – GENERAL COUNSEL/SECRETARY 03/2016 < 5%
MEDANICH, DAVID KING Individual – BOARD DIRECTOR 08/2017 < 5%
ALEXANDER, LAURA BONNELL Individual – BOARD DIRECTOR 08/2017 < 5%
WINGES, MARTIN BRADLEY Individual – CEO/PRESIDENT/DIRECTOR 02/2019 < 5%
SOBEL, JONATHAN SCOTT Individual – CHAIRMAN 07/2019 < 5%
EDGE, JOSEPH MICHAEL Individual – BOARD DIRECTOR 10/2015 < 5%
COYA, SCOTT Individual – CHIEF COMPLIANCE OFFICER 01/2022 < 5%
PINEDA, ROMEO Individual – PRINCIPAL OPERATIONS OFFICER 03/2022 < 5%

No. Employees, Historic

20010002019202020212022202320242025167 on 10/9/2019167 on 11/20/2019167 on 12/5/2019167 on 1/14/2020167 on 3/4/2020111 on 3/31/2020111 on 6/23/2020111 on 7/28/2020111 on 8/7/2020111 on 9/18/2020111 on 10/26/2020111 on 11/10/2020111 on 11/10/2020111 on 11/17/2020111 on 12/2/2020111 on 2/3/2021110 on 3/31/2021110 on 4/1/2021110 on 5/24/2021110 on 5/27/2021110 on 8/5/2021110 on 8/6/2021110 on 9/8/2021110 on 10/22/2021110 on 11/11/2021110 on 11/12/2021110 on 1/11/2022105 on 3/30/2022105 on 3/31/2022105 on 4/8/2022105 on 4/18/2022105 on 9/22/2022105 on 9/23/2022113 on 3/30/2023113 on 6/1/2023113 on 9/20/2023113 on 11/13/2023113 on 12/12/2023113 on 12/19/2023113 on 3/28/2024

RAUM, Historic

3B2B020192020202120222023202420251101533191 on 10/9/20191101533191 on 11/20/20191101533191 on 12/5/20191101533191 on 1/14/20201101533191 on 3/4/20201423065210 on 3/31/20201423065210 on 6/23/20201423065210 on 7/28/20201423065210 on 8/7/20201423065210 on 9/18/20201423065210 on 10/26/20201423065210 on 11/10/20201423065210 on 11/10/20201423065210 on 11/17/20201423065210 on 12/2/20201423065210 on 2/3/20211141135590 on 3/31/20211792889823 on 4/1/20211792889823 on 5/24/20211792889823 on 5/27/20211792889823 on 8/5/20211792889823 on 8/6/20211792889823 on 9/8/20211792889823 on 10/22/20211792889823 on 11/11/20211792889823 on 11/12/20211792889823 on 1/11/20222019855669 on 3/30/20222019855669 on 3/31/20222019855669 on 4/8/20222019855669 on 4/18/20222019855669 on 9/22/20222019855669 on 9/23/20221730433320 on 3/30/20231730433320 on 6/1/20231730433320 on 9/20/20231730433320 on 11/13/20231730433320 on 12/12/20231730433320 on 12/19/20231866292572 on 3/28/2024

No. Clients, Historic

5,0002,500020192020202120222023202420252880 on 10/9/20192880 on 11/20/20192880 on 12/5/20192880 on 1/14/20202880 on 3/4/20204198 on 3/31/20204198 on 6/23/20204198 on 7/28/20204198 on 8/7/20204198 on 9/18/20204198 on 10/26/20204198 on 11/10/20204198 on 11/10/20204198 on 11/17/20204198 on 12/2/20204198 on 2/3/20213285 on 3/31/20213305 on 4/1/20213305 on 5/24/20213305 on 5/27/20213305 on 8/5/20213305 on 8/6/20213305 on 9/8/20213305 on 10/22/20213305 on 11/11/20213305 on 11/12/20213305 on 1/11/20223149 on 3/30/20223149 on 3/31/20223149 on 4/8/20223149 on 4/18/20223149 on 9/22/20223149 on 9/23/20223020 on 3/30/20233020 on 6/1/20233020 on 9/20/20233020 on 11/13/20233020 on 12/12/20233020 on 12/19/20232343 on 3/28/2024