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HILLTOP SECURITIES INC.
CRD 6220File 801-55529
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 11, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.51B
Top 25% of cohort (national)
Discretionary AUM
$1.80B
Non-discretionary $710.3M
Clients
3,407
5,592 accounts
Employees
92
Top 25% of cohort in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jun 10, 1998
- Principal office
- 717 N. HARWOOD STREET, SUITE 3400, DALLAS, TX, 75201
- Phone
- 214-953-4000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.51B
- Discretionary AUM
- $1.80B
- Non-discretionary AUM
- $710.3M
- Discretionary accounts
- 4,132
- Non-discretionary accounts
- 1,460
- Total accounts
- 5,592
- AUM per client
- $736K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 49 | $125.5M |
| Charitable organizations | 11 | $27.7M |
| High net worth individuals | 599 | $1.43B |
| Pension and profit sharing plans | 7 | $19.2M |
| State or municipal government entities | 5 | $73.0M |
| Individuals (other than high net worth individuals) | 2,736 | $829.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — 12B-1 FEES
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11F
- Q11G
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11D5
- Q11E2
- Q11H2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 91 | 92 | increased by1 |
| Apr 1, 2026 | Clients | 2,241 | 3,407 | increased by1,166 |
| Apr 1, 2026 | AUM | $2,254,166,069 | $2,507,522,526 | increased by$253,356,457 |
| Apr 1, 2026 | Accounts | 5,181 | 5,592 | increased by411 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 105 | 91 | decreased by14 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,149 | 2,241 | decreased by908 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,019,855,669 | $2,254,166,069 | increased by$234,310,400 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 4,574 | 5,181 | increased by607 |
| Apr 1, 2022 | Employees | 110 | 105 | decreased by5 |
| Apr 1, 2022 | Clients | 3,305 | 3,149 | decreased by156 |
| Apr 1, 2022 | AUM | $1,792,889,823 | $2,019,855,669 | increased by$226,965,846 |
| Apr 1, 2022 | Accounts | 4,864 | 4,574 | decreased by290 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HILLTOP SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HILLTOP SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.