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HILLTOP SECURITIES ASSET MANAGEMENT, LLC

DALLAS, TX · CRD 110760 · IAPD ↗ · hilltopsecurities.com · 214-953-4000

$37.70BRegulatory AUM
13Advisory reps
31Employees
60Clients
0Planning clients
0Private funds
25States
3Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

39
April 2025 — HILLTOP SECURITIES ASSET MANAGEMENT, LLC notice-filed in IN, KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
September 2024 — HILLTOP SECURITIES ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2024 — HILLTOP SECURITIES ASSET MANAGEMENT, LLC notice-filed in GA, LA, MA, MI, MS, NJ, NY, OH, OR, RI, TN, VA, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — HILLTOP SECURITIES ASSET MANAGEMENT, LLC reported RAUM up 27% ($21.41B -> $27.23B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
April 2024 — HILLTOP SECURITIES ASSET MANAGEMENT, LLC grew from 7 to 12 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.