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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

HIGHLAND CAPITAL MANAGEMENT, LLC

CRD 104842

MEMPHIS, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3eb2be21-ab20-e95c-ae3f-d1be36b2d353

Data as of Jul 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 4
On other graphs: 0
Observed: Mar 2, 2012 to Jul 8, 2026
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.33 fund_share=0.02 institutional_share=0.59 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.9BItem 5.F on the latest filing (2026-07-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 33%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $323Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 21
Advisory employees: 13
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 957
Individual clients: 206
High net worth clients: 450
Custody, client assets: $455M
SEC number: 801-8762
CIK: 860486
CRD: 104842
Filings on the tape: 43
First filed: Mar 2, 2012
Latest filed: Jul 8, 2026
Organised: Limited Liability Company, TN

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MARK JOSEPH CRONIN	Chartered Financial Analyst	MEMPHIS, TN	22	41	n/a	no
DAVID LEE THOMPSON	Chartered Financial Analyst	MEMPHIS, TN	22	31	n/a	no
STEVEN WISHNIA	n/a	MEMPHIS, TN	22	39	n/a	no
SCOTT ERIC NOTOWICH	n/a	MEMPHIS, TN	12	37	3	no
STEVEN MICHAEL STACK	n/a	Lake Mary, FL	11	22	1	no
TODD IAN WISHNIA	n/a	Memphis, TN	9	11	n/a	no
Andrew Travis O'Sullivan	Chartered Financial Analyst	MEMPHIS, TN	9	11	n/a	no
BART NMI MCMURRY	n/a	Castle Rock, CO	6	32	1	no
BENJAMIN JOSEPH GRANGER	Chartered Financial Analyst	MEMPHIS, TN	1	22	n/a	no
LELIA WOODLEY COGGINS	n/a	MEMPHIS, TN	1	17	1	no
ALAN M ERICKSON	Chartered Financial Analyst	MEMPHIS, TN	1	36	n/a	no
SHIBAHN SINGH RODDA	n/a	MEMPHIS, TN	0	17	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ARGENT FINANCIAL GROUP, INC	MEMBER 100%	E	yes	12/2012	Jul 8, 2026	Jul 8, 2026
THOMPSON, DAVID, LEE	CHIEF INVESTMENT OFFICER/DIRECTOR OF PRIVATE WEALTH	Na	yes	04/2015	Jul 8, 2026	Jul 8, 2026
TINDAL, MICHAEL, HEFLIN	DIRECTOR OF TAFT-HARTLEY SERVICES	Na	yes	04/2015	Jul 8, 2026	Jul 8, 2026
WISHNIA, STEVEN	PRESIDENT & CEO	Na	yes	12/2012	Jul 8, 2026	Jul 8, 2026
MONTGOMERY, LORI, NELMS	CHIEF COMPLIANCE OFFICER	Na	yes	02/2023	Mar 3, 2023	May 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ORLEANS CAPITAL MANAGEMENT CORP	n/a	Institutional manager	$2.1B	N	yes	n/a
ARGENT ADVISORS, INC.	n/a	Independent wealth	$1.7B	N	yes	n/a
ARGENT RETIREMENT PLAN ADVISORS, LLC	n/a	Institutional manager	$683M	N	yes	n/a
ARGENT WEALTH, LLC	n/a	Independent wealth	$487M	N	yes	n/a
AMERITRUST INVESTMENT ADVISORS INC	n/a	Former SEC adviser	$64.3M	N	yes	n/a
WYNDEN CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$27.0M	N	yes	n/a
AMERITRUST CORPORATION	n/a	n/a	n/a	N	yes	n/a
ARGENT INSTITUTIONAL TRUST COMPANY	n/a	n/a	n/a	N	yes	FL
ARGENT INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
ARGENT TRUST COMPANY	n/a	n/a	n/a	N	yes	La
ARGENT TRUST COMPANY OF OKLAHOMA	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LAKE MARY	FL	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$3.8B	$3.8B	21	13	1	n/a	n/a
2024	Mar 13, 2025	$3.5B	$3.5B	21	13	1	n/a	n/a
2023	Mar 27, 2024	$3.4B	$3.4B	19	12	1	n/a	n/a
2022	Mar 31, 2023	$3.1B	$3.1B	20	11	2	n/a	n/a
2021	Mar 24, 2022	$3.4B	$3.4B	22	11	2	n/a	n/a
2020	Mar 24, 2021	$3.1B	$3.1B	23	10	2	n/a	n/a
2019	Mar 10, 2020	$3.0B	$3.0B	25	10	2	n/a	n/a
2018	Mar 19, 2019	$2.7B	$2.7B	25	10	2	n/a	n/a
2017	Mar 28, 2018	$3.0B	$3.0B	27	10	2	n/a	n/a
2016	Mar 28, 2017	$2.6B	$2.6B	32	11	n/a	n/a	n/a
2015	Mar 29, 2016	$2.5B	$2.5B	27	9	n/a	n/a	n/a
2014	Mar 24, 2015	$1.4B	$1.4B	12	7	n/a	n/a	n/a
2013	Mar 3, 2014	$1.3B	$1.3B	11	6	n/a	n/a	n/a
2012	Mar 28, 2013	$1.2B	$1.2B	11	6	n/a	n/a	n/a
2011	Mar 2, 2012	$1.2B	$1.2B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.9B	$3.5B	9.6%	$3.1B	7.8%	21	21	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ICC CAPITAL MANAGEMENT INC	2	May 15, 2015	Nov 20, 2019	ORLANDO, FL	Team lift out	Other	100.0%

Relationships

Affiliated with (9)

← ARGENT ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ AMERITRUST INVESTMENT ADVISORS INCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ ORLEANS CAPITAL MANAGEMENT CORPRegistered adviserother investment adviser, common control
factForm ADV
→ ARGENT ADVISORS, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ WYNDEN CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ARGENT RETIREMENT PLAN ADVISORS, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ ARGENT WEALTH, LLCRegistered adviserother investment adviser, common control
factForm ADV
← ORLEANS CAPITAL MANAGEMENT CORPRegistered adviserother investment adviser, common control
factForm ADV
← ARGENT RETIREMENT PLAN ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (17)

← SHIBAHN SINGH RODDAAdvisorregistration: current employment
Feb 24, 2026 to presentfactForm ADV
← ALAN M ERICKSONAdvisorregistration: current employment
Aug 19, 2025 to presentfactForm ADV
← LELIA WOODLEY COGGINSAdvisorregistration: current employment
Feb 27, 2025 to presentfactForm ADV
← BENJAMIN JOSEPH GRANGERAdvisorregistration: current employment
Oct 1, 2024 to presentfactForm ADV
← BART NMI MCMURRYAdvisorregistration: current employment
Nov 20, 2019 to presentfactForm ADV
← Andrew Travis O'SullivanAdvisorregistration: current employment
Mar 29, 2017 to presentfactForm ADV
← TODD IAN WISHNIAAdvisorregistration: current employment
Oct 28, 2016 to presentfactForm ADV
← STEVEN MICHAEL STACKAdvisorregistration: current employment
Jul 6, 2015 to presentfactForm ADV
← SCOTT ERIC NOTOWICHAdvisorregistration: current employment
Feb 19, 2014 to presentfactForm ADV
← STEVEN WISHNIAAdvisorregistration: current employment
Mar 31, 2004 to presentfactForm ADV
← DAVID LEE THOMPSONAdvisorregistration: current employment
Mar 22, 2004 to presentfactForm ADV
← MARK JOSEPH CRONINAdvisorregistration: current employment
Mar 18, 2004 to presentfactForm ADV
← JED F MILLERAdvisorregistration: previous registration
Dec 16, 2010 to Jul 2, 2025factForm ADV
← KENNETH LOUIS RIFFLEAdvisorregistration: previous registration
Jun 18, 2013 to Oct 16, 2013factForm ADV
← Reed David WaltersAdvisorregistration: previous registration
Apr 15, 2013 to Oct 16, 2013factForm ADV
← CECIL ADAIR GODMANAdvisorregistration: previous registration
Dec 17, 2010 to Apr 1, 2011factForm ADV
← MARK CHRISTOPHER FLECKAdvisorregistration: previous registration
Mar 22, 2004 to Jan 2, 2008factForm ADV

Controls (5)

← WISHNIA, STEVENOwnerPRESIDENT & CEO, ownership code NA, individual
Mar 2, 2012 to May 20, 2024factForm ADV
← THOMPSON, DAVID, LEEOwnerCHIEF INVESTMENT OFFICER/DIRECTOR OF PRIVATE WEALTH, ownership code NA, individual
Jun 5, 2015 to May 20, 2024factForm ADV
← TINDAL, MICHAEL, HEFLINOwnerDIRECTOR OF TAFT-HARTLEY SERVICES, ownership code NA, individual
Jun 5, 2015 to May 20, 2024factForm ADV
← MONTGOMERY, LORI, NELMSOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 3, 2023 to May 20, 2024factForm ADV
← ARGENT FINANCIAL GROUP, INCOwnerMEMBER 100%, ownership code E, domestic entity
Jan 4, 2013 to May 20, 2024factForm ADV

Moved with (1)

← ICC CAPITAL MANAGEMENT INCRegistered adviser2 advisors, team lift out, same day
May 15, 2015 to Nov 20, 2019factForm ADV

Dated events

Occurred
Jul 2, 2025
Advisor changed firm
Jed F Miller left Highland Capital Management, Llc for Agincourt Capital Management, Llc (registered 2025-08-18)
Form ADVobserved 4 days ago
Occurred
Jan 3, 2024
Control person left
Michael Steven Stack (Coo / Director Of Public Funds) no longer on Schedule A of Highland Capital Management, Llc (listed 2023-08-03, absent 2024-01-03)
Form ADVobserved 4 days ago
Occurred
Mar 3, 2023
Control person joined
Nelms Lori Montgomery (Chief Compliance Officer) appeared on Schedule A of Highland Capital Management, Llc
Form ADVobserved 4 days ago
Occurred
Jan 26, 2023
Control person left
Marie Denise Spivey (Chief Compliance Officer) no longer on Schedule A of Highland Capital Management, Llc (listed 2022-04-01, absent 2023-01-26)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3eb2be21-ab20-e95c-ae3f-d1be36b2d353
First observed: Mar 2, 2012
Last observed: Jul 8, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HIGHLAND CAPITAL MANAGEMENT, LLC

CRD 104842

MEMPHIS, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3eb2be21-ab20-e95c-ae3f-d1be36b2d353

Data as of Jul 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:57 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARK JOSEPH CRONIN

Chartered Financial Analyst

MEMPHIS, TN

n/a

DAVID LEE THOMPSON

Chartered Financial Analyst

MEMPHIS, TN

n/a

STEVEN WISHNIA

n/a

MEMPHIS, TN

n/a

SCOTT ERIC NOTOWICH

n/a

MEMPHIS, TN

STEVEN MICHAEL STACK

n/a

Lake Mary, FL

TODD IAN WISHNIA

n/a

Memphis, TN

n/a

Andrew Travis O'Sullivan

Chartered Financial Analyst

MEMPHIS, TN

n/a

BART NMI MCMURRY

n/a

Castle Rock, CO

BENJAMIN JOSEPH GRANGER

Chartered Financial Analyst

MEMPHIS, TN

n/a

LELIA WOODLEY COGGINS

n/a

MEMPHIS, TN

ALAN M ERICKSON

Chartered Financial Analyst

MEMPHIS, TN

n/a

SHIBAHN SINGH RODDA

n/a

MEMPHIS, TN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARGENT FINANCIAL GROUP, INC

MEMBER 100%

yes

12/2012

Jul 8, 2026

THOMPSON, DAVID, LEE

CHIEF INVESTMENT OFFICER/DIRECTOR OF PRIVATE WEALTH

yes

04/2015

Jul 8, 2026

TINDAL, MICHAEL, HEFLIN

DIRECTOR OF TAFT-HARTLEY SERVICES

yes

04/2015

Jul 8, 2026

WISHNIA, STEVEN

PRESIDENT & CEO

yes

12/2012

Jul 8, 2026

MONTGOMERY, LORI, NELMS

CHIEF COMPLIANCE OFFICER

yes

02/2023

Mar 3, 2023

May 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ORLEANS CAPITAL MANAGEMENT CORP

n/a

Institutional manager

$2.1B

yes

n/a

ARGENT ADVISORS, INC.

n/a

Independent wealth

$1.7B

yes

n/a

ARGENT RETIREMENT PLAN ADVISORS, LLC

n/a

Institutional manager

$683M

yes

n/a

ARGENT WEALTH, LLC

n/a

Independent wealth

$487M

yes

n/a

AMERITRUST INVESTMENT ADVISORS INC

n/a

Former SEC adviser

$64.3M

yes

n/a

WYNDEN CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$27.0M

yes

n/a

AMERITRUST CORPORATION

n/a

yes

n/a

ARGENT INSTITUTIONAL TRUST COMPANY

n/a

yes

ARGENT INSURANCE SERVICES, LLC

n/a

yes

n/a

ARGENT TRUST COMPANY

n/a

yes

ARGENT TRUST COMPANY OF OKLAHOMA

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

LAKE MARY

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$3.8B

n/a

2024

Mar 13, 2025

$3.5B

n/a

2023

Mar 27, 2024

$3.4B

n/a

2022

Mar 31, 2023

$3.1B

n/a

2021

Mar 24, 2022

$3.4B

n/a

2020

Mar 24, 2021

$3.1B

n/a

2019

Mar 10, 2020

$3.0B

n/a

2018

Mar 19, 2019

$2.7B

n/a

2017

Mar 28, 2018

$3.0B

n/a

2016

Mar 28, 2017

$2.6B

n/a

2015

Mar 29, 2016

$2.5B

n/a

2014

Mar 24, 2015

$1.4B

n/a

2013

Mar 3, 2014

$1.3B

n/a

2012

Mar 28, 2013

$1.2B

n/a

2011

Mar 2, 2012

$1.2B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$3.9B

$3.5B

9.6%

$3.1B

7.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ICC CAPITAL MANAGEMENT INC

May 15, 2015

Nov 20, 2019

ORLANDO, FL

Team lift out

Other

100.0%