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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 Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.