Wealth manager, independent · Lubbock, TX
High Plains Investment Advisors, Inc.
SEC-registered investment adviser · CRD 114404 · SEC 801-126221
At a glance
High Plains Investment Advisors, Inc. is an SEC-registered investment adviser based in Lubbock, Texas, with $191 million in regulatory assets under management as of its Form ADV filed February 9, 2026. Its largest client group by assets is charitable organizations, and it reports 128 individual clients. By Form ADV it is a wealth manager, ranked 5,965th of 8,915 wealth managers and 12,468th of 17,210 SEC-registered advisers by assets.
Main office 806-793-7934hptxadvisors.comAs filed on Form ADV
- Regulatory AUM
- $191M
- Rank among wealth managers
- #5,965 of 8,915
- Rank among all SEC RIAs
- #12,468 of 17,210
- Rank in Texas
- #835 of 1,081
- Individual clients
- 128
- High-net-worth clients
- 25
- Accounts
- 415
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Timothy D. MackPresident and Chief Compliance Officer
- Brad A. PruittVice President
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Charitable organizations | 9 | $87M | 45% |
| High-net-worth individuals | 25 | $75M | 39% |
| Individuals | 103 | $29M | 15% |
Disciplinary disclosures
High Plains Investment Advisors, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗hptxadvisors.com ↗
AtlasMembers
The full record on High Plains Investment Advisors, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 5,899 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does High Plains Investment Advisors, Inc. manage?
High Plains Investment Advisors, Inc. reports $191 million in regulatory assets under management across 415 accounts, 100% of it on a discretionary basis, on its Form ADV filed February 9, 2026.
What kind of firm is High Plains Investment Advisors, Inc.?
High Plains Investment Advisors, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are High Plains Investment Advisors, Inc.’s clients?
By assets, its largest client types are charitable organizations ($87 million, 9 clients); high-net-worth individuals ($75 million, 25 clients); individuals ($29 million, 103 clients).
Does High Plains Investment Advisors, Inc. have any disciplinary history?
High Plains Investment Advisors, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is High Plains Investment Advisors, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-02-09), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →