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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

HIGHMARK CAPITAL MANAGEMENT, INC.

CRD 109550

SAN FRANCISCO, CA

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:8288b029-af77-5966-8401-a03d38cb033d

Data as of Jan 11, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 18
On other graphs: 0
Observed: Jan 11, 2012 to Jan 11, 2024
61 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $8.7BItem 5.F on the latest filing (2024-01-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 68
Advisory employees: 30
Offices: 11Schedule D 1.F, beyond the principal office
Accounts: 502
Individual clients: 0
High net worth clients: 0
Custody, client assets: $7.7B
SEC number: 801-55718
CRD: 109550
Filings on the tape: 61
First filed: Jan 11, 2012
Latest filed: Jan 11, 2024
Organised: Corporation, California

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
HAENDEL, GREGORY, DAVID	Director	Na	yes	12/2020	Dec 22, 2020	Jan 11, 2024
LOWENSTEIN, TODD, S	Director	Na	yes	12/2019	Jan 10, 2020	Jan 11, 2024
Seiler, Corinna	MANAGING DIRECTOR, CHAIRMAN OF THE BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER AND PRESIDENT	Na	yes	11/2023	Mar 29, 2021	Jan 11, 2024
Shyu, Allen, Pei-Shang	CHIEF FINANCIAL OFFICER	Na	yes	06/2018	Sep 27, 2018	Jan 11, 2024
U.S. BANCORP	THE ACQUISITION OF MUFG UNIONBANK, N.A. BY U.S. BANCORP ON COMPLETED ON DECEMBER 1, 2022	E	yes	12/2022	Dec 22, 2022	Jan 11, 2024
U.S. BANK NATIONAL ASSOCIATION	SOLE MEMBER	E	yes	12/2022	Jan 11, 2024	Jan 11, 2024
UTSCHIG, JOHN, GARY	CHIEF COMPLIANCE OFFICER	Na	yes	06/2023	Jun 9, 2023	Jan 11, 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
U.S. BANCORP ADVISORS, LLC	n/a	Bd affiliated wealth	$1.8B	N	yes	n/a
MUFG UNION BANK, N.A.	n/a	n/a	n/a	Y	yes	CA
U.S. BANK N. A.	n/a	n/a	n/a	N	yes	Mn

Offices

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

City	State	Country	Employees	Also broker-dealer
Irvine	CA	United States	6	no
BEVERLY HILLS	CA	United States	4	no
LOS ANGELES	CA	United States	3	no
SANTA BARBARA	CA	United States	3	no
LA JOLLA	CA	United States	1	no
SAN DIEGO	CA	United States	1	no
SAN JOSE	CA	United States	1	no
Portland	Or	United States	1	no
Seattle	Wa	United States	1	no
n/a	n/a	n/a	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
2022	Mar 27, 2023	$8.7B	$8.3B	68	30	11	n/a	n/a
2021	Mar 28, 2022	$10B	$9.3B	78	38	12	n/a	n/a
2020	Mar 29, 2021	$9.3B	$8.4B	77	38	10	n/a	n/a
2019	Mar 27, 2020	$8.9B	$7.9B	77	40	10	n/a	n/a
2018	Mar 28, 2019	$7.4B	$6.7B	76	40	10	n/a	n/a
2017	Mar 27, 2018	$14B	$14B	84	49	10	n/a	n/a
2016	Mar 30, 2017	$16B	$15B	88	48	n/a	n/a	n/a
2015	Mar 29, 2016	$16B	$15B	87	47	n/a	n/a	n/a
2014	Mar 27, 2015	$16B	$15B	92	45	n/a	n/a	n/a
2013	Mar 31, 2014	$15B	$13B	85	45	n/a	n/a	n/a
2012	Apr 1, 2013	$18B	$16B	137	60	n/a	n/a	n/a
2011	Mar 30, 2012	$16B	$12B	n/a	n/a	n/a	n/a	n/a

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
2022	$8.7B	$10B	-14.1%	$8.9B	-0.9%	68	78	11	12

Relationships

Affiliated with (1)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (7)

← UTSCHIG, JOHN, GARYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 9, 2023 to presentfactForm ADV
← HAENDEL, GREGORY, DAVIDOwnerDIRECTOR, ownership code NA, individual
Dec 22, 2020 to presentfactForm ADV
← LOWENSTEIN, TODD, SOwnerDIRECTOR, ownership code NA, individual
Jan 10, 2020 to presentfactForm ADV
← Shyu, Allen, Pei-ShangOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 27, 2018 to presentfactForm ADV
← Seiler, CorinnaOwnerMANAGING DIRECTOR, CHAIRMAN OF THE BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER AND PRESIDENT, ownership code NA, individual
Mar 29, 2021 to presentfactForm ADV
← U.S. BANCORPOwnerTHE ACQUISITION OF MUFG UNIONBANK, N.A. BY U.S. BANCORP ON COMPLETED ON DECEMBER 1, 2022, ownership code E, domestic entity
Dec 22, 2022 to presentfactForm ADV
← U.S. BANK NATIONAL ASSOCIATIONOwnerSOLE MEMBER, ownership code E, domestic entity
Jan 11, 2024 to presentfactForm ADV

Registered with (2)

← CRAIG EWING BRAEMERAdvisorregistration: previous registration
Mar 1, 1999 to Dec 31, 2015factForm ADV
← Charles R. BlackAdvisorregistration: previous registration
Jul 26, 2002 to Dec 31, 2015factForm ADV

Dated events

Occurred
Dec 8, 2023
Control person left
John David Pittman (Chief Executive Officer, President And Chairman Of The Board) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2023-06-26, absent 2023-12-08)
Form ADVobserved 6 days ago
Occurred
Jun 9, 2023
Control person joined
Gary John Utschig (Chief Compliance Officer) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Jun 9, 2023
Control person left
Marla Klaas (Chief Risk Officer) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2023-03-27, absent 2023-06-09)
Form ADVobserved 6 days ago
Occurred
Jun 9, 2023
Control person left
Brian William Mahon (Chief Compliance Officer) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2023-03-27, absent 2023-06-09)
Form ADVobserved 6 days ago
Occurred
Aug 17, 2022
Control person left
Edwin James Staubin (Director) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2022-03-28, absent 2022-08-17)
Form ADVobserved 6 days ago
Occurred
Jun 25, 2021
Control person left
Thomas Brian Applegate (Managing Director & Chief Compliance Officer) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2021-05-26, absent 2021-06-25)
Form ADVobserved 6 days ago
Occurred
Jun 25, 2021
Control person joined
Brian William Mahon (Chief Compliance Officer) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 29, 2021
Control person joined
Marla Klaas (Chief Risk Officer) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 29, 2021
Control person joined
Corinna Seiler (Chief Operating Officer) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Dec 22, 2020
Control person joined
David Gregory Haendel (Director) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Jun 12, 2020
Control person left
Boyd David Wines (President & Chief Executive Officer) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2020-03-27, absent 2020-06-12)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2020
Control person left
Paul Wozniak (Managing Director) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2020-01-10, absent 2020-03-27)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2020
Control person joined
John David Pittman (Director) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Jan 10, 2020
Control person left
Allen Kevin Rogers (Managing Director) no longer on Schedule A of Highmark Capital Management, Inc. (listed 2019-08-28, absent 2020-01-10)
Form ADVobserved 6 days ago
Occurred
Jan 10, 2020
Control person joined
S Todd Lowenstein (Director) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Jan 10, 2020
Control person joined
Marla Klaas (Director) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Jan 10, 2020
Control person joined
Edwin James Staubin (Director) appeared on Schedule A of Highmark Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Sep 27, 2018
Regulatory AUM changed
Highmark Capital Management, Inc. reported RAUM $7.1B, down 50% from $14.3B (2018-03-27 to 2018-09-27)
Form ADVobserved 6 days ago
$-7.2B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8288b029-af77-5966-8401-a03d38cb033d
First observed: Jan 11, 2012
Last observed: Jan 11, 2024 32 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.

HIGHMARK CAPITAL MANAGEMENT, INC.

CRD 109550

SAN FRANCISCO, CA

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:8288b029-af77-5966-8401-a03d38cb033d

Data as of Jan 11, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAENDEL, GREGORY, DAVID

Director

yes

12/2020

Dec 22, 2020

Jan 11, 2024

LOWENSTEIN, TODD, S

Director

yes

12/2019

Jan 10, 2020

Jan 11, 2024

Seiler, Corinna

MANAGING DIRECTOR, CHAIRMAN OF THE BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER AND PRESIDENT

yes

11/2023

Mar 29, 2021

Jan 11, 2024

Shyu, Allen, Pei-Shang

CHIEF FINANCIAL OFFICER

yes

06/2018

Sep 27, 2018

Jan 11, 2024

U.S. BANCORP

THE ACQUISITION OF MUFG UNIONBANK, N.A. BY U.S. BANCORP ON COMPLETED ON DECEMBER 1, 2022

yes

12/2022

Dec 22, 2022

Jan 11, 2024

U.S. BANK NATIONAL ASSOCIATION

SOLE MEMBER

yes

12/2022

Jan 11, 2024

UTSCHIG, JOHN, GARY

CHIEF COMPLIANCE OFFICER

yes

06/2023

Jun 9, 2023

Jan 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

U.S. BANCORP ADVISORS, LLC

n/a

Bd affiliated wealth

$1.8B

yes

n/a

MUFG UNION BANK, N.A.

n/a

yes

U.S. BANK N. A.

n/a

yes

City

State

Country

Employees

Also broker-dealer

Irvine

United States

BEVERLY HILLS

United States

LOS ANGELES

United States

SANTA BARBARA

United States

LA JOLLA

United States

SAN DIEGO

United States

SAN JOSE

United States

Portland

United States

Seattle

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 27, 2023

$8.7B

$8.3B

n/a

2021

Mar 28, 2022

$10B

$9.3B

n/a

2020

Mar 29, 2021

$9.3B

$8.4B

n/a

2019

Mar 27, 2020

$8.9B

$7.9B

n/a

2018

Mar 28, 2019

$7.4B

$6.7B

n/a

2017

Mar 27, 2018

$14B

n/a

2016

Mar 30, 2017

$16B

$15B

n/a

2015

Mar 29, 2016

$16B

$15B

n/a

2014

Mar 27, 2015

$16B

$15B

n/a

2013

Mar 31, 2014

$15B

$13B

n/a

2012

Apr 1, 2013

$18B

$16B

137

n/a

2011

Mar 30, 2012

$16B

$12B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$8.7B

$10B

-14.1%

$8.9B

-0.9%