← Tributary

HIGHLANDS INVESTMENT MANAGEMENT

· CRD 323133 · IAPD ↗ · wm-advisors.com · 786 910-6009

$0Regulatory AUM
1Advisory reps
4Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
September 2024 — HIGHLANDS INVESTMENT MANAGEMENT (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
March 2024 — HIGHLANDS INVESTMENT MANAGEMENT now reports custody of client assets.
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

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