Hilltop Securities Asset Management, LLC

Overview

Hilltop Securities Asset Management, LLC is an SEC-registered investment adviser organized as an LLC and registered in 1991. The firm serves institutional clients and positions itself around portfolio management for businesses and institutions, supplemented by educational seminars and workshops. Its business activity is listed as other financial product salesperson, and the firm reports affiliations that include a broker-dealer, registered municipal advisor, CPO/CTA, major security‑based swap participant, banking or thrift institution, and an insurance company. Fee arrangements include percentage-of-AUM billing as well as hourly and fixed-fee arrangements and other fee types. The firm does not identify as an active ESG investor, and its filing indicates it is not a multi-state adviser.

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