DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Highland Associates Inc
Latest filing Jul 29, 2026
First filing on the tape Mar 30, 2012 · 47 filings
SEC status approved since Aug 21, 1987
RAUM
$21B
reported, Item 5.F
Discretionary
35%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$10B
derived; firm RAUM over IAPD count
Employees
19
18 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$21B as of Jul 29, 2026
Mar 30, 2012$15B then
HNW client RAUM$0 as of Jul 29, 2026
Mar 20, 2018$66.6M then
State-registered IARs (5.B.3)2 as of Jul 29, 2026
Mar 30, 20120 then
Employees (5.A)19 as of Jul 29, 2026
Mar 15, 201318 then
Private funds4 as of Jul 29, 2026
Mar 24, 20164 then
RAUM +4.2% over the last fiscal year-6.4% a year over threeIARs 3 to 2offices 2 to 1
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $10BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $344MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 35%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$12B58%
- Pension and profit-sharing plans$6.2B29%
- Pooled investment vehicles$1.5B7.1%
- Charitable organizations$693M3.3%
- Insurance companies$479M2.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 16reported
- Charitable clients
- 15reported
- Accounts
- 61reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.07 institutional_share=0.35 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Paige Briscoe Daniel | Birmingham, Al | Sep 19, 2007 | 31 y | 2 |
| John Derek Peterson | Birmingham, Al | Jan 2, 2019 | 21 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Michael Thomas Lytle to Stonex Advisors Inc.May 10, 2022 · Other
- Rachael Pintaric Thomas to Concourse Financial Group AdvisorsJul 18, 2017 · Other
- John Robert Doody to Lanark Financial, Inc.Dec 3, 2014 · Other
- James Wilkerson Underwood to Welch Hornsby, Inc.Jun 27, 2006 · Other
- Christopher Ryan Phillips to Citigroup Global Markets Inc.Feb 9, 2006 · Other
- John P Maloney to Kinsight, LLCMay 20, 2005 · Other
Joined, latest
- Rachael Pintaric Thomas from Sterne Agee Asset Management, Inc.Dec 5, 2016 · Other
- Paige Briscoe Daniel from Amsouth Asset Management, Inc.Sep 19, 2007 · Other
- Michael Thomas Lytle from Amsouth Asset Management, Inc.Oct 20, 2006 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Cahaba Partners Equity Plus Fund | Other Private Fund | $2.8B | 18 | Mar 25, 2019 |
| Highland Equity Fundno longer reported | Other Private Fund | $1.8B | 14 | Mar 24, 2016 |
| Cahaba Partners Core Fixed Income Fund | Other Private Fund | $1.6B | 14 | Mar 24, 2016 |
| Cahaba Partners Tactical Equity Program | Other Private Fund | $897M | 18 | Mar 31, 2020 |
| Cahaba Partners Public Inflation Hedges Fund | Other Private Fund | $513M | 18 | Mar 24, 2016 |
| Cahaba Partners Total Return Fund | Other Private Fund | $307M | 1 | Mar 24, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Briscoe Paige Daniel · Managing Directorcontrolsince 09/2014 · owns less than 5%
- W Jack Echols · President And Ceocontrolsince 09/2014 · owns less than 5%
- Charles Christian Grimm · Managing Directorcontrolsince 07/2022 · owns less than 5%
- Derek John Peterson · Managing Directorcontrolsince 12/2021 · owns less than 5%
- Jason Eric Ralph · Managing Directorcontrolsince 01/2018 · owns less than 5%
- William Scott Sealock · Managing Directorcontrolsince 08/2023 · owns less than 5%
- Horner Amanda Poe · Ccosince 02/2016 · owns less than 5%
Entity owners
- Regions Bank · Direct Ownerdirect · owns 75% or more
- Regions Financial Corporation · Indirect Ownerindirect · owns 75% or more of Regions Bank · public reporting company
Related persons
Schedule D 7.A
- Blackarch Securities LLCbroker-dealern
- Regions Bankcustodiany
- Regions Financial Corporationy
- Regions Investment Management, Inc.investment advisernRAUM $20B
- Regions Securities LLCbroker-dealern
- Rfc Financial Services Holdings LLCn
Advisers that list Highland Associates Inc as a related person
- 111715 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Edina, MN1 employees
- St Louis, MO1 employees
What changed
consecutive filings, newest first
- Accounts · 69 to 61Nov 13, 2025 to Mar 30, 2026
- Advisory employees · 20 to 18Nov 13, 2025 to Mar 30, 2026
- Charity clients · 16 to 15Nov 13, 2025 to Mar 30, 2026
- Corporate clients · 27 to 23Nov 13, 2025 to Mar 30, 2026
- Pension plan clients · 20 to 16Nov 13, 2025 to Mar 30, 2026
- Employees · 20 to 19Nov 13, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 2Nov 13, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.8B to $7.5BNov 13, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $13B to $14BNov 13, 2025 to Mar 30, 2026
- Pension RAUM · $6.1B to $6.2BNov 13, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.2B to $1.5BNov 13, 2025 to Mar 30, 2026
- RAUM · $20B to $21BNov 13, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Jul 17, 2025 to Nov 13, 2025
- Other offices · 2 to 1Mar 31, 2025 to Jul 17, 2025
- Accounts · 61 to 69Nov 4, 2024 to Mar 31, 2025
- Advisory employees · 18 to 20Nov 4, 2024 to Mar 31, 2025
- BD registered reps · 3 to 1Nov 4, 2024 to Mar 31, 2025
- Charity clients · 17 to 16Nov 4, 2024 to Mar 31, 2025
- Corporate clients · 23 to 27Nov 4, 2024 to Mar 31, 2025
- Pension plan clients · 15 to 20Nov 4, 2024 to Mar 31, 2025
- Pooled vehicle clients · 6 to 4Nov 4, 2024 to Mar 31, 2025
- Employees · 19 to 20Nov 4, 2024 to Mar 31, 2025
- Private funds · 5 to 4Nov 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $14B to $6.8BNov 4, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $9.3B to $13BNov 4, 2024 to Mar 31, 2025
- Pension RAUM · $4.7B to $6.1BNov 4, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.3B to $1.2BNov 4, 2024 to Mar 31, 2025
- RAUM · $24B to $20BNov 4, 2024 to Mar 31, 2025
- Accounts · 70 to 61Oct 31, 2023 to Mar 26, 2024
- Advisory employees · 20 to 18Oct 31, 2023 to Mar 26, 2024
- BD registered reps · 0 to 3Oct 31, 2023 to Mar 26, 2024
- Charity clients · 18 to 17Oct 31, 2023 to Mar 26, 2024
- Corporate clients · 28 to 23Oct 31, 2023 to Mar 26, 2024
- HNW clients · unset to 0.0Oct 31, 2023 to Mar 26, 2024
- Pension plan clients · 17 to 15Oct 31, 2023 to Mar 26, 2024
- Employees · 20 to 19Oct 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $13B to $14BOct 31, 2023 to Mar 26, 2024
- HNW RAUM · $19.6M to $0Oct 31, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $13B to $9.3BOct 31, 2023 to Mar 26, 2024
- Pension RAUM · $6.0B to $4.7BOct 31, 2023 to Mar 26, 2024
Signals
11 dated events
- William Scott Sealock (Managing Director) appeared on Schedule A of Highland Associates IncOct 19, 2023 · Control person joined · fact
- Highland Associates Inc reported RAUM $25.6B, down 30% from $36.5B (2022-11-29 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- West Hunter Craig (Managing Director) no longer on Schedule A of Highland Associates Inc (listed 2022-11-08, absent 2022-11-29)Nov 29, 2022 · Control person left · inference
- Charles Christian Grimm (Managing Director) appeared on Schedule A of Highland Associates IncAug 1, 2022 · Control person joined · fact
- Michael Thomas Lytle left Highland Associates Inc for Stonex Advisors Inc. (registered 2022-05-10)May 10, 2022 · Advisor changed firm · fact
- Thomas Michael Lytle (Managing Director) no longer on Schedule A of Highland Associates Inc (listed 2022-04-05, absent 2022-05-10)May 10, 2022 · Control person left · inference
- Derek John Peterson (Managing Director) appeared on Schedule A of Highland Associates IncMar 31, 2022 · Control person joined · fact
- Scott Richard Graham (Managing Director & Chief Investment Officer) no longer on Schedule A of Highland Associates Inc (listed 2020-05-19, absent 2020-12-04)Dec 4, 2020 · Control person left · inference
- Debardeleben Charles Perry (Chairman) no longer on Schedule A of Highland Associates Inc (listed 2019-03-25, absent 2019-08-09)Aug 9, 2019 · Control person left · inference
- Alexander William Terry (Chairman) no longer on Schedule A of Highland Associates Inc (listed 2019-03-25, absent 2019-08-09)Aug 9, 2019 · Control person left · inference
- West Hunter Craig (Managing Director) appeared on Schedule A of Highland Associates IncMar 25, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Highland Associates Inc · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/HIGHLAND-ASSOCIATES-BIRMINGHAM-ALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HIGHLANDASSOC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 205-933-8664reportedpublic record, Form ADV, Jul 29, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $10Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026