Hilltop Securities Inc. (Dallas)

Hilltop Securities provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters, and educational seminars and workshops. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Hilltop Securities: assets under management

The assets under management (AUM) of Hilltop Securities Inc. is $1.1 billion. The firm's AUM has grown by 6% since the beginning of its operation, and $1.14 million of the total AUM is attributable to clients outside of the United States.

The firm manages $646.93 million in discretionary accounts and $454.61 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $278.01 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $317.02 thousand.

Hilltop Securities has custody of $1.1 billion in cash and securities for 2,819 clients in total and acts as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 54% of the total AUM. The second-largest asset type is investment and business development companies, which make up 26% of the firm’s portfolio. Investments in cash and cash equivalents form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Hilltop Securities Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Robert Wayne Peterson serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Robert Wayne Peterson is individuals with 2,819 clients and $987.54 million of assets under management. Among the 7 most similar advisory firms, Hilltop Securities has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $1.1 billion for 2,880 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Hilltop Securities doesn't advise any private funds.

Careers at Hilltop Securities Inc.

The company employs 167 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 167 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Robert Wayne Peterson has been acting as President since 1 Jan 2016. Hillel Arnold Feinberg joined the executive team most recently as the President.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 1 indirect owner.

Based in Dallas

The principal office where Hilltop Securities Inc. performs its advisory services is located at 1201 Elm Street, Suite 3500, Dallas, TX 75270, which is also the mailing address of the firm. An additional office of the firm is in League City, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-859-1800 or by fax 214-859-6497. The normal business hours are 8:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at hilltopsecurities.com/doc-darilek and its LinkedIn profile.

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