HIGHLAND CAPITAL ADVISORS, LLC
Adviser information for HIGHLAND CAPITAL ADVISORS, LLC last updated from Form ADV on January 31st, 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 | Washington, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 9 | $0 |
| HNW Individuals | 9 | $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 | 77 | $0 |
| Charitable organizations | 6 | $0 |
| 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 | 18 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 119 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-66336 |
|---|---|
| SEC ERA File Number | 801-66336 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139780 |
| Legal Entity Identifier | None |
Principal Office
485 RAINIER BLVD NORTHSUITE 103
ISSAQUAH
WA
United States
Monday - Friday, 9AM - 5PM
Tel: 1-800-717-6180, Fax: 1-866-524-3061
Websites
Chief Compliance Officer
WILLIAM S SMALL
PRINCIPAL
485 RAINIER BLVD NORTH
SUITE 103
ISSAQUAH
WA
United States
Tel:
800-717-6180
Fax:
8665243061
C*********@********M
(Full email address available in API data)
Regulatory Contact
RICHARD C WYMAN
PRINCIPAL
485 RAINIER BLVD NORTH
SUITE 103
ISSAQUAH
WA
United States
Tel:
800-717-6180
Fax:
8665243061
C*********@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMALL, WILLIAM, SEAN | Individual | – | PRINCIPAL / CHIEF COMPLIANCE OFFICER | 02/2006 | 25-50% |
| WYMAN, RICHARD, CAMERON | Individual | – | PRINCIPAL | 01/2011 | 25-50% |
| DOSER, RANDALL, LEE | Individual | – | DIRECTOR, CLIENT INFORMATION SYSTEMS | 12/2014 | 5-10% |
| ROWE, DAVID, SINCLAIR | Individual | – | SENIOR CONSULTANT | 05/2012 | 5-10% |