Highland Capital Management, LLC

RIASEC RegisteredEst. 1972
Total AUM
$3.9B
Discretionary
$3.9B
100% of AUM
Avg account
$4.1M
Accounts
957
Employees
21
Advisory reps
15

Firm details

Headquarters
Memphis, Tennessee
CRD number
104842
Registered since
July 21, 1972
Website
www.highlandcap.com
Custodians
ARGENT TRUST COMPANY, SALEM TRUST, CHARLES SCHWAB & CO., INC., TRUIST INVESTMENT SERVICES, INC.
Fee structure
Percentage of AUM, Performance Based Fees, Other
Client types
  • HNWI30.97%
  • State / Municipal Government23.27%
  • Pension & Profit Sharing Plans22.97%
  • Charitable Organizations12.87%
  • Other2.91%
Services
Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Highland Capital Management, LLC is a long-established SEC-registered investment adviser (registration back to 1972) that manages portfolios for individuals and families as well as institutional entities. Its advisory scope includes discretionary portfolio management for individuals/small businesses, investment companies, and other businesses or institutions. The firm charges a mix of percentage-of-AUM fees and performance-based fees, and it also reports other fee arrangements. Highland is not flagged as an active ESG investor on its filings; its ADV likewise does not designate it as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 50%, US Government Bonds 23%, Investment Grade Corp Bonds 12%, Public Funds/Mutual Funds 8%, Cash & Cash Equivalents 5%, State & Local Bonds 1%50%
  • Exchange Traded Equities50%
  • US Government Bonds23%
  • Investment Grade Corp Bonds12%
  • Public Funds/Mutual Funds8%
  • Cash & Cash Equivalents5%

Owners & executives

2 of 2
  • David Thompson

    David Thompson

    Chief Investment OfficerCRD 4344729

  • Lori Montgomery

    Lori Montgomery

    Chief Compliance OfficerCRD 5573978

Contacts

3 of 13

  • Michael Tindal

    DirectorCRD 4362733

  • James Klepper

    James Klepper

    Institutional SalesCRD 1426708

  • Lelia Coggins

    Portfolio ManagerCRD 5310620

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 72

Active vs passive

$238M in ETFs

Passive

97%

$230M

Active

<1%

$8.1M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$49.1M65,53820.65%
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Location

Primary office

Memphis, TN

Shelby

Location

Memphis, TN

Headquartered in Memphis, TN, anchoring the Memphis-Forrest City, TN-MS-AR metro in the South.

Metro area
Memphis-Forrest City, TN-MS-AR
Region
South
County
Shelby
Address
850 Ridge Lake Blvd
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth