Investment adviser · CRD 6220
HILLTOP SECURITIES INC.
Investment adviser filing (IA)
DALLAS, TX, United States · Form ADV filed Aug 11, 2026
- Regulatory AUM
- $2.51B Form ADV · Item 5.F
- Client accounts
- 5,592 Accounts, not individual clients
- Employees
- 92 Reported in this filing
- Advisory professionals
- 92 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 599 | $1,432,688,700 | 57.1% |
| Individuals | 2,736 | $829,464,573 | 33.1% |
| Corporations & businesses | 49 | $125,518,682 | 5.0% |
| Government entities | 5 | $73,010,377 | 2.9% |
| Charities | 11 | $27,659,848 | 1.1% |
| Retirement plans | 7 | $19,180,346 | 0.8% |
Filing source
Form ADV 2125200 · Aug 11, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Aug 11, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Pension consulting · Selection of other advisers · Publication of newsletters · Educational seminars
Compensation
Percentage of assets · Hourly · Fixed
Principal office
717 N. HARWOOD STREET, SUITE 3400DALLAS, TX, 75201, United States
CRD 6220
Filing source
Form ADV 2125200 · Aug 11, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.