HILLTOP SECURITIES ASSET MANAGEMENT, LLC
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HILLTOP SECURITIES ASSET MANAGEMENT, LLC
(CRD# 110760)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Dallas, TX.
The SEC approved the firm to operate as an RIA in
Dec 1991.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$14.5 Billion,
with discretion over
0%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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HILLTOP SECURITIES ASSET MANAGEMENT, LLC
also reported in
Mar 2019
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25
employees,
with
4
performing advisory functions.
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A total of 2 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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HILLTOP SECURITIES ASSET MANAGEMENT, LLC has one or more disclosure events currently on file with the SEC.
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HILLTOP SECURITIES ASSET MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities: <
AZ-May 1999, CA-Jun 2006, FL-Jul 1999, MD-Mar 2019, NH-Nov 2006
, NM-Nov 2005, OK-Jun 2016, TX-Feb 1999
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