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
Hilltop Securities Inc.
Latest filing Aug 11, 2026
First filing on the tape Dec 22, 2011 · 100 filings
SEC status approved since Jun 10, 1998
RAUM
$2.5B
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
90%
$2.3B individuals and HNW
Advisors
164
registered through the firm on IAPD
RAUM per advisor
$15.3M
derived; firm RAUM over IAPD count
Employees
92
92 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
100 filings and snapshots on the tape
RAUM$2.5B as of Aug 11, 2026
Sep 28, 2012$652M then
HNW client RAUM$1.4B as of Aug 11, 2026
Mar 29, 2018$88.4M then
State-registered IARs (5.B.3)92 as of Aug 11, 2026
Sep 17, 2013218 then
Employees (5.A)92 as of Aug 11, 2026
Sep 17, 2013218 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 91 to 92offices 19 to 18
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $15.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $448,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 8.7derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +1.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +51%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $2.4BreportedItem 5.I
- Custody
- $2.5B, 5,866 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B57%
- Individuals$829M33%
- Corporations and businesses$126M5.0%
- State and municipal entities$73.0M2.9%
- Charitable organizations$27.7M1.1%
- Pension and profit-sharing plans$19.2M0.8%
- Individual clients
- 2,736reported
- HNW clients
- 599reported
- Pension plan clients
- 7reported
- Charitable clients
- 11reported
- Accounts
- 5,592reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $988M sponsored, $0 managedreported
- Custody of client assets
- $2.5B for 5,866 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=91.0derived
Advisors registered through the firm
138 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Hardie Jones | Dallas, Tx | Aug 30, 2000 | 33 y | 0 |
| Mark Allen Clift | Dallas, Tx | Apr 23, 2003 | 37 y | 1 |
| Walter Joseph Anthony | Plano, Tx | Jan 31, 2008 | 30 y | 2 |
| Peter George Cappos | Dallas, Tx | Oct 21, 2008 | 32 y | 1 |
| Milford Lee Stern | Los Angeles, Ca | Oct 22, 2008 | 46 y | 2 |
| Kevin Darin Kott | Monterey, Ca | Nov 10, 2008 | 39 y | 1 |
| Jeffrey Michael Margolis | Sherman Oaks, Ca | Nov 10, 2008 | 42 y | 1 |
| Bradley Todd Glasman | Heber City, Ut | Nov 12, 2008 | 42 y | 1 |
| Dennis Robberecht | Roseville, Ca | Nov 18, 2008 | 42 y | 1 |
| Cliff J Millemann | Roseville, Ca | Nov 19, 2008 | 41 y | 1 |
| Michael Richard Davidson | Dallas, Tx | Nov 19, 2008 | 22 y | 1 |
| Leonard Norman Laub | Monterey, Ca | Nov 20, 2008 | 42 y | 1 |
| Thomas James Faledas | Dallas, Tx | Nov 20, 2008 | 24 y | 1 |
| Stacy Lynn Sternportman | Calabasas, Ca | Dec 4, 2008 | 40 y | 1 |
| William James Pinkerton | Monterey, Ca | Dec 9, 2008 | 46 y | 1 |
| Gary Steven Frazeur | Sherman Oaks, Ca | Dec 10, 2008 | 32 y | 1 |
| Efrain Felipe Borenstein | Pasadena, Ca | Dec 10, 2008 | 35 y | 1 |
| Marlene Audrey Gotz | San Diego, Ca | Dec 10, 2008 | 32 y | 1 |
| David Alan Gotz | San Diego, Ca | Dec 10, 2008 | 44 y | 1 |
| Howard Drew Arden | San Diego, Ca | Dec 10, 2008 | 22 y | 1 |
| David Kevin Nielsen | Roseville, Ca | Dec 10, 2008 | 32 y | 1 |
| Gary Scott WallerCertified Financial Planner | Roseville, Ca | Dec 10, 2008 | 24 y | 1 |
| Michael Clement Spohn | San Francisco, Ca | Dec 10, 2008 | 22 y | 1 |
| Paul Lawrence Wunsch | Studio City, Ca | Dec 10, 2008 | 36 y | 1 |
| Michael David Karp | Sherman Oaks, Ca | Dec 11, 2008 | 42 y | 1 |
| Barbara Frenkel | Sherman Oaks, Ca | Dec 11, 2008 | 45 y | 1 |
| William H Skelton | Dallas, Tx | Jan 30, 2009 | 25 y | 1 |
| Adam Ray Melville | Sherman Oaks, Ca | Mar 10, 2009 | 17 y | 0 |
| William Sean Coyle | Oklahoma City, Ok | Mar 30, 2009 | 29 y | 1 |
| William Edward Livingston Coster | Dallas, Tx | Apr 3, 2009 | 36 y | 2 |
| Eugene Walt Parrish | Dallas, Tx | Apr 27, 2009 | 26 y | 1 |
| Michael Emerson Campbell | Dallas, Tx | May 6, 2009 | 45 y | 1 |
| Steven Alexander Sarkissian | Plano, Tx | May 8, 2009 | 26 y | 1 |
| Stephen Paul Crossman | Dallas, Tx | May 12, 2009 | 34 y | 1 |
| James Earl Pence | Norman, Ok | Jun 5, 2009 | 28 y | 1 |
| Joan Geurkink LawsonCertified Financial Planner | Norman, Ok | Jun 5, 2009 | 35 y | 1 |
| Pamela J Broms | Norman, Ok | Sep 15, 2009 | 40 y | 2 |
| Jemilson Pierrelouis | Dallas, Tx | Jan 5, 2011 | 18 y | 0 |
| Parker Wayne Brean | San Diego, Ca | Apr 12, 2011 | 18 y | 0 |
| Robert Alvin Harty | Plano, Tx | May 18, 2012 | 18 y | 2 |
Advisor movement
4 left, 8 joined in 12 months
net +4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 2.4% of current headcount21 left over 36 months
Left, latest
- William Carr Stokes to Frost Investment ServicesJun 1, 2026 · Affiliated broker-dealer or bank to another
- Thomas Michael O'Connell to Carnegie Wealth Management LLCMay 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nicholas Alexander Hughes to Cetera Investment Advisers LLCMay 1, 2026 · Affiliated broker-dealer or bank to another
- Brice Eber-Morris to Rockefeller Capital ManagementFeb 2, 2026 · Affiliated broker-dealer or bank to another
- William Woolfolk Nelson to Momentum Independent Network Inc.May 15, 2025 · Other
- Keaton Russell to Momentum Independent Network Inc.Apr 29, 2025 · Affiliated broker-dealer or bank to another
- Kristie Lyn Messina to Messina Wealth Management, LLCApr 29, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- John D Boyle to Ameriprise Financial Services, LLCApr 29, 2025 · Affiliated broker-dealer or bank to another
- Lawrence Jude Messina to Messina Wealth Management, LLCJan 13, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- Christine R Pagliaro to Morgan StanleyDec 20, 2024 · Affiliated broker-dealer or bank to wirehouse
- Nicholas C. Mcmahan to Cetera Investment Advisers LLCAug 28, 2024 · Affiliated broker-dealer or bank to another
- Angela Dawn Raley to Bok Financial AdvisorsApr 9, 2024 · Affiliated broker-dealer or bank to another
- John Christian Coyle to Momentum Independent Network Inc.Mar 27, 2024 · Affiliated broker-dealer or bank to another
- Joseph Walter Turek to Foundations Investment Advisors LLCMar 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- Patrick Garrett Deist to Oakwell Private Wealth ManagementMar 14, 2024 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Caleb Adam Barnett from Strategic Wealth Investment Group, LLCApr 20, 2026 · RIA to affiliated broker-dealer or bank
- Taylor Heifetz from World Equity Group, Inc.Mar 24, 2026 · Affiliated broker-dealer or bank to another
- Angela Chandler Hatley from RBC Capital Markets, LLCJan 6, 2026 · Affiliated broker-dealer or bank to another
- Kole Thomas Johnson from Equitable Advisors, LLCNov 17, 2025 · Affiliated broker-dealer or bank to another
- Nicholas Alexander Hughes from Advice And Planning ServicesNov 11, 2025 · Affiliated broker-dealer or bank to another
- John Scott Klingensmith from RBC Capital Markets, LLCOct 31, 2025 · Affiliated broker-dealer or bank to another
- Jennifer Lee Huber from Momentum Independent Network Inc.Oct 22, 2025 · Affiliated broker-dealer or bank to another
- William Douglas Etheridge from RBC Capital Markets, LLCSep 22, 2025 · Affiliated broker-dealer or bank to another
- John V Rivera from J.P. Morgan Securities LLCSep 5, 2025 · Wirehouse to affiliated broker-dealer or bank
- Michael John Forster from Raymond James Financial Services Advisors, IncJun 24, 2025 · Affiliated broker-dealer or bank to another
- Kirk Roy Fricke from Hancock Whitney Investment Services Inc.May 29, 2025 · Affiliated broker-dealer or bank to another
- Balin Thurow Smith from Equitable Advisors, LLCMay 29, 2025 · Affiliated broker-dealer or bank to another
- Avery Vanechanos from Next Financial Group, Inc.May 14, 2025 · Affiliated broker-dealer or bank to another
- Christopher Beyer from Voya Investment Management Co. LLCApr 15, 2025 · Other
- Paul Jonathan O'Toole from LPL Financial LLCMar 25, 2025 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Prospera Financial Services, Inc.Oct 12, 2023 · Dallas, Tx
- 2 left for LPL Financial LLCJul 3, 2023 · Longview, Tx
- 2 left for D.A. Davidson & Co.Apr 22, 2023 · Austin, Tx
- 4 left for Cetera Investment Advisers LLCOct 18, 2022 · League City, Tx
- 2 left for Momentum Independent Network Inc.Apr 8, 2022 · Dallas, Tx
- 2 left for D.A. Davidson & Co.Nov 22, 2021 · Austin, Tx
- 3 left for Vista Investment Partners LLCJul 16, 2021 · Oklahoma City, Ok
- 2 left for Kestra Private Wealth Services, LLCMay 27, 2020 · Del Mar, Ca
- 3 joined from Truist Advisory Services, Inc.Aug 30, 2024 · Dallas, Tx
- 2 joined from Edward JonesFeb 22, 2024 · San Antonio, Tx
- 2 joined from Morgan StanleyAug 19, 2021 · Memphis, Tn
- 2 joined from Pnc Managed Account Solutions, Inc.Jun 30, 2021 · Austin, Tx
- 2 joined from Wells Fargo AdvisorsSep 8, 2020 · Southlake, Tx
- 2 joined from Raymond James Financial Services Advisors, IncJun 25, 2020 · Sherman, Tx
- 2 joined from Wells Fargo AdvisorsJun 18, 2019 · Dallas, Tx
- 2 joined from Bok Financial AdvisorsApr 20, 2018 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Laura Bonnell Alexander · Board Directorcontrolsince 08/2017 · owns less than 5%
- Michael George Bartolotta · Board Directorcontrolsince 12/2025 · owns less than 5%
- Scott Andrew Coya · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- Joseph Michael Edge · Chief Financial Officercontrolsince 01/2016 · owns less than 5%
- Laura Leventhal · Board Directorcontrolsince 09/2013 · owns less than 5%
- David King Medanich · Board Directorcontrolsince 08/2017 · owns less than 5%
- John Richard Muschalek · Board Directorcontrolsince 03/2015 · owns less than 5%
- Jonathan Scott Sobel · Chairmancontrolsince 07/2019 · owns less than 5%
- Martin Bradley Winges · Ceo/President/Directorcontrolsince 02/2019 · owns less than 5%
- Brian Lane Wittneben · General Counsel/Secretarycontrolsince 03/2016 · owns less than 5%
- Romeo Linsangan Pineda · Principal Operations Officersince 03/2022 · owns less than 5%
Entity owners
- Hilltop Securities Holdings, · Parentdirect · owns 75% or more
- Hilltop Securities Holdings, LLC · Parentdirect · owns 75% or more
- Hilltop Holdings Inc. · Parentindirect · owns 75% or more of Hilltop Securities Holdings, LLC · public reporting company
Related persons
Schedule D 7.A
- Hilltop Securities Asset Management, LLCinvestment advisernRAUM $38B
- Hilltop Securities Insurance Agency Inc.real estaten
- Momentum Independent Network Inc.broker-dealerinvestment advisernRAUM $1.6B
- Plainscapital Bankn
- Southwest Financial Insurance Agency, Inc.real estaten
Advisers that list Hilltop Securities Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 92 | 16 | 1 | ||
| Sherman Oaks, Ca | 17 | 0 | 1 | ||
| Plano, Tx | 11 | 0 | 0 | ||
| Austin, Tx | 9 | 0 | 0 | ||
| San Diego, Ca | 7 | 0 | 0 | ||
| Monterey, Ca | 7 | 0 | 0 | ||
| Roseville, Ca | 6 | 0 | 0 | ||
| Memphis, Tn | 5 | 1 | 0 | ||
| Norman, Ok | 4 | 0 | 0 | ||
| Houston, Tx | 3 | 0 | 0 | ||
| Sherman, Tx | 3 | 0 | 0 | ||
| San Antonio, Tx | 3 | 0 | 0 | ||
| Fort Worth, Tx | 3 | 0 | 0 | ||
| Amarillo, Tx | 2 | 1 | 0 | ||
| Charlotte, Nc | 2 | 2 | 0 | ||
| New York, Ny | 2 | 1 | 0 | ||
| Oklahoma City, Ok | 2 | 0 | 0 | ||
| San Francisco, Ca | 2 | 0 | 0 | ||
| St Paul, Mn | 2 | 1 | 0 | ||
| Boerne, Tx | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Sherman Oaks, CA16 employees
- Dallas, TX13 employees
- Austin, TX10 employees
- Monterey, CA10 employees
- Plano, TX9 employees
- Oklahoma City, OK7 employees
- San Diego, CA7 employees
- Roseville, CA6 employees
- Norman, OK6 employees
- San Francisco, CA5 employees
- Houston, TX3 employees
- Sherman, TX3 employees
- Ft. Worth, TX3 employees
- Big Bear Lake, CA3 employees
- San Antonio, TX2 employees
- The Woodlands, TX2 employees
- Lufkin, TX1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 11, 2026BARTOLOTTA, MICHAEL GEORGE (BOARD DIRECTOR) appeared on Schedule A between the filings of 2023-12-12 and 2026-08-11peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 11, 2026MUSCHALEK, JOHN RICHARD (BOARD DIRECTOR) left Schedule A between the filings of 2023-12-12 and 2026-08-11peers: affiliated wealth managers, $1B to $5B (56)
- client count surgeChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 2,209.0 to 3,335.0 (+51.0%) between the annual amendments of 2025-03-26 and 2026-03-30; the peer median change was +9.0% (50 comparable advisers, 92.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (50) · 92% percentile
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 40.0% to 57.0% between the annual amendments of 2025-03-26 and 2026-03-30peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Accounts · 5,181 to 5,592Nov 12, 2025 to Mar 30, 2026
- Advisory employees · 91 to 92Nov 12, 2025 to Mar 30, 2026
- BD registered reps · 90 to 91Nov 12, 2025 to Mar 30, 2026
- Charity clients · 1 to 11Nov 12, 2025 to Mar 30, 2026
- Corporate clients · 28 to 49Nov 12, 2025 to Mar 30, 2026
- HNW clients · 871 to 599Nov 12, 2025 to Mar 30, 2026
- Individual clients · 1,338 to 2,736Nov 12, 2025 to Mar 30, 2026
- Pension plan clients · 3 to 7Nov 12, 2025 to Mar 30, 2026
- Assets in custody · $2.3B to $2.5BNov 12, 2025 to Mar 30, 2026
- Employees · 91 to 92Nov 12, 2025 to Mar 30, 2026
- State-registered IARs · 91 to 92Nov 12, 2025 to Mar 30, 2026
- Other offices · 19 to 18Nov 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $1.8BNov 12, 2025 to Mar 30, 2026
- HNW RAUM · $893M to $1.4BNov 12, 2025 to Mar 30, 2026
- Individual RAUM · $1.3B to $829MNov 12, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $626M to $710MNov 12, 2025 to Mar 30, 2026
- Pension RAUM · $40.0M to $19.2MNov 12, 2025 to Mar 30, 2026
- RAUM · $2.3B to $2.5BNov 12, 2025 to Mar 30, 2026
- Wrap assets (manager) · $896M to $0Nov 12, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $1.0B to $988MNov 12, 2025 to Mar 30, 2026
- Accounts · 4,546 to 5,181Dec 19, 2024 to Mar 26, 2025
- Advisory employees · 113 to 91Dec 19, 2024 to Mar 26, 2025
- Advisory activities · 5 to 6Dec 19, 2024 to Mar 26, 2025
- BD registered reps · 113 to 90Dec 19, 2024 to Mar 26, 2025
- Charity clients · 2 to 1Dec 19, 2024 to Mar 26, 2025
- Corporate clients · 20 to 28Dec 19, 2024 to Mar 26, 2025
- HNW clients · 944 to 871Dec 19, 2024 to Mar 26, 2025
- Individual clients · 1,372 to 1,338Dec 19, 2024 to Mar 26, 2025
- Pension plan clients · 5 to 3Dec 19, 2024 to Mar 26, 2025
- Assets in custody · $1.9B to $2.3BDec 19, 2024 to Mar 26, 2025
- Employees · 113 to 91Dec 19, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 26-50Dec 19, 2024 to Mar 26, 2025
- State-registered IARs · 113 to 91Dec 19, 2024 to Mar 26, 2025
- Other offices · 17 to 19Dec 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.4B to $1.6BDec 19, 2024 to Mar 26, 2025
- HNW RAUM · $1.4B to $893MDec 19, 2024 to Mar 26, 2025
- Individual RAUM · $429M to $1.3BDec 19, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $500M to $626MDec 19, 2024 to Mar 26, 2025
- Pension RAUM · $39.5M to $40.0MDec 19, 2024 to Mar 26, 2025
- RAUM · $1.9B to $2.3BDec 19, 2024 to Mar 26, 2025
Signals
60 dated events
- Curran T Bradley registered as an investment adviser representative at Hilltop Securities Inc.Sep 16, 2026 · Advisor registered · fact
- Fletcher Atwood Hopper registered as an investment adviser representative at Hilltop Securities Inc.Sep 14, 2026 · Advisor registered · fact
- William Carr Stokes left Hilltop Securities Inc. for Frost Investment Services (registered 2026-06-02)Jun 1, 2026 · Advisor changed firm · fact
- Thomas Michael O'Connell left Hilltop Securities Inc. for Carnegie Wealth Management Llc (registered 2026-04-27)May 22, 2026 · Advisor changed firm · fact
- Nicholas Alexander Hughes left Hilltop Securities Inc. for Cetera Investment Advisers Llc (registered 2026-06-04)May 1, 2026 · Advisor changed firm · fact
- Brice Eber-Morris left Hilltop Securities Inc. for Rockefeller Capital Management (registered 2026-02-04)Feb 2, 2026 · Advisor changed firm · fact
- William Woolfolk Nelson left Hilltop Securities Inc. for Momentum Independent Network Inc. (registered 2013-08-08)May 15, 2025 · Advisor changed firm · fact
- Kristie Lyn Messina left Hilltop Securities Inc. for Messina Wealth Management, Llc (registered 2025-02-17)Apr 29, 2025 · Advisor changed firm · fact
- Keaton Russell left Hilltop Securities Inc. for Momentum Independent Network Inc. (registered 2025-01-13)Apr 29, 2025 · Advisor changed firm · fact
- John D Boyle left Hilltop Securities Inc. for Ameriprise Financial Services, Llc (registered 2025-04-07)Apr 29, 2025 · Advisor changed firm · fact
- Lawrence Jude Messina left Hilltop Securities Inc. for Messina Wealth Management, Llc (registered 2025-01-03)Jan 13, 2025 · Advisor changed firm · fact
- Christine R Pagliaro left Hilltop Securities Inc. for Morgan Stanley (registered 2025-01-02)Dec 20, 2024 · Advisor changed firm · fact
- 3 advisors left Truist Advisory Services, Inc. (Dallas, TX) for Hilltop Securities Inc. within 5 daysAug 30, 2024 · Team lift-out · derived
- Nicholas C. Mcmahan left Hilltop Securities Inc. for Cetera Investment Advisers Llc (registered 2024-09-23)Aug 28, 2024 · Advisor changed firm · fact
- Angela Dawn Raley left Hilltop Securities Inc. for Bok Financial Advisors (registered 2024-04-08)Apr 9, 2024 · Advisor changed firm · fact
- John Christian Coyle left Hilltop Securities Inc. for Momentum Independent Network Inc. (registered 2024-02-29)Mar 27, 2024 · Advisor changed firm · fact
- Joseph Walter Turek left Hilltop Securities Inc. for Foundations Investment Advisors Llc (registered 2024-04-17)Mar 18, 2024 · Advisor changed firm · fact
- Patrick Garrett Deist left Hilltop Securities Inc. for Oakwell Private Wealth Management (registered 2024-03-25)Mar 14, 2024 · Advisor changed firm · fact
- Paige Richards left Hilltop Securities Inc. for J.P. Morgan Securities Llc (registered 2024-03-13)Mar 14, 2024 · Advisor changed firm · fact
- David Jay Pergande left Hilltop Securities Inc. for M Holdings Securities, Inc. (registered 2024-03-19)Mar 6, 2024 · Advisor changed firm · fact
- 2 advisors left Edward Jones (San Antonio, TX) for Hilltop Securities Inc. within 4 daysFeb 22, 2024 · Team lift-out · derived
- Craig A Callon left Hilltop Securities Inc. for Fisher Investments (registered 2023-12-01)Nov 30, 2023 · Advisor changed firm · fact
- Jay David Angotti left Hilltop Securities Inc. for Kpc Financial Solutions, Llc (registered 2023-11-17)Nov 30, 2023 · Advisor changed firm · fact
- Jonathan Mark Rawlings left Hilltop Securities Inc. for Prospera Financial Services, Inc. (registered 2023-09-21)Oct 12, 2023 · Advisor changed firm · fact
- Joseph Andrew Giardano left Hilltop Securities Inc. for Prospera Financial Services, Inc. (registered 2023-09-21)Oct 12, 2023 · Advisor changed firm · fact
- 2 advisors left Hilltop Securities Inc. (Dallas, TX) for Prospera Financial Services, Inc. on the same dayOct 12, 2023 · Team lift-out · derived
- Adam Ran Baker left Hilltop Securities Inc. for Fisher Investments (registered 2026-04-15)Sep 1, 2023 · Advisor changed firm · fact
- Jason Scott Dodson left Hilltop Securities Inc. for Lpl Financial Llc (registered 2023-06-13)Jul 5, 2023 · Advisor changed firm · fact
- Daniel Wayne Steffes left Hilltop Securities Inc. for The Oak Ridge Financial Services Group, Inc (registered 2023-06-05)Jul 5, 2023 · Advisor changed firm · fact
- James Russell Malone left Hilltop Securities Inc. for Lpl Financial Llc (registered 2023-06-14)Jul 3, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/hilltop-securities-inc-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- communitybankgroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 214-953-4000reportedpublic record, Form ADV, Aug 11, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026