AdvisorGrade
Fee-basedFiduciaryRegionalInternational

Hilltop Securities INC.

Hilltop Securities INC. is a fee-based, SEC-registered investment adviser in Dallas, Texas, registered with the SEC since 1998, managing approximately $2.5B. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #6220 · SEC #801-55529 · SEC-registered since 1998 (28 yrs) · Last filing data January 1, 2026

AUM
$2.5B

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
92

92 advisers

Assets per adviser

$27Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm is more adviser-heavy (fewer assets per adviser).

From advisors.hilltopsecurities.com

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Overview

AI-generated summary

Hilltop Securities INC. is a fee-based, SEC-registered investment adviser based in Dallas, Texas. It reported approximately $2.5B in regulatory assets under management on its most recent Form ADV. The firm reports one or more disclosure events on Form ADV Item 11 — see the disclosures section below.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
6220
SEC #
801-55529
Headquarters
Dallas, TX
Employees
92

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$2.5B
Assets under management by year
YearReported AUM
2026$2.5B

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

  • 2026 · SEC or CFTC regulatory disclosure

    Hilltop Securities INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Other regulatory agency disclosure

    Hilltop Securities INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Self-regulatory organization disclosure

    Hilltop Securities INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Authorization or bond disclosure

    Hilltop Securities INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Civil judicial disclosure

    Hilltop Securities INC. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • Detailed, AI-summarized breakdowns of each event are being rolled out across the directory. For now, review the full Disclosure Reporting Pages on the SEC IAPD record.

Frequently asked questions

Is Hilltop Securities INC. a fiduciary?+

Yes. Hilltop Securities INC. is an SEC-registered investment adviser (CRD #6220), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Hilltop Securities INC. compensated?+

Hilltop Securities INC. reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Hilltop Securities INC. manage?+

Hilltop Securities INC. reported approximately $2.5B in regulatory assets under management as of its most recent Form ADV filing.

Does Hilltop Securities INC. have any disclosures?+

Hilltop Securities INC. reported one or more disclosure events on Form ADV Item 11 (sec or cftc regulatory disclosure, other regulatory agency disclosure, self-regulatory organization disclosure, authorization or bond disclosure, civil judicial disclosure). A disclosure is not by itself a finding of wrongdoing; review the full Disclosure Reporting Pages on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Hilltop Securities INC. has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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