Asset manager · Birmingham, AL
Highland Associates Inc
SEC-registered investment adviser · CRD 104948 · SEC 801-30248
At a glance
Highland Associates Inc is an SEC-registered investment adviser based in Birmingham, Alabama, with $21.0 billion in regulatory assets under management as of its Form ADV filed July 29, 2026. Its largest client group by assets is corporations or other businesses. By Form ADV it is a asset manager, ranked 363rd of 3,218 asset managers and 846th of 17,210 SEC-registered advisers by assets.
Main office 205-933-8664highlandassoc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $21B
- Rank among asset managers
- #363 of 3,218
- Rank among all SEC RIAs
- #846 of 17,210
- Rank in Alabama
- #2 of 92
- Clients
- 65
- Accounts
- 61
- Discretionary
- 35% of AUM
- Employees
- 19
- Advisory staff
- 18
- Offices
- 2
Owners and executives on its Form ADV
- Paige B. DanielPresident
- Amanda H. PoeCCO
- Eric J. RalphManaging Director
- John D. PetersonManaging Director
- Scott W. SealockManaging Director
Custody and brokerage
5 custodians
- Principal$3.5B29%
- PNC$2.6B22%
- BNY$2.1B17%
- Lincoln Financial$2.0B17%
- Principal Financial Group$1.7B14%
Broker-dealer
Hybrid RIA
Highland Associates Inc is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: RF M&a Services LLC, Regions Securities LLC and The Frazer Lanier Company, Incorporated.
- RF M&a Services LLC ↗CRD 154250
- Regions Securities LLC ↗CRD 159475
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
- The Frazer Lanier Company, Incorporated ↗CRD 7089
An introducing broker-dealer: its trades clear through StoneX, which holds the brokerage accounts. Its annual audited report filed with the SEC, December 2025
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 23 | $12B | 58% |
| Pension and profit sharing plans | 16 | $6.2B | 29% |
| Pooled investment vehicles | 4 | $1.5B | 7% |
| Charitable organizations | 15 | $693M | 3% |
| Insurance companies | 7 | $479M | 2% |
Private funds
Highland Associates Inc reports 4 private funds with $1.6B in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Highland Associates Inc answers yes to 13 disclosure items 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
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗highlandassoc.com ↗
AtlasMembers
The full record on Highland Associates 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, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 409 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Highland Associates Inc manage?
Highland Associates Inc reports $21.0 billion in regulatory assets under management across 61 accounts, 35% of it on a discretionary basis, on its Form ADV filed July 29, 2026.
What kind of firm is Highland Associates Inc?
Highland Associates Inc is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Highland Associates Inc’s clients?
By assets, its largest client types are corporations or other businesses ($12.2 billion, 23 clients); pension and profit sharing plans ($6.2 billion, 16 clients); pooled investment vehicles ($1.5 billion, 4 clients).
Does Highland Associates Inc manage private funds?
Yes. It reports 4 private funds with $1.6 billion in gross assets, including other private funds.
Does Highland Associates Inc have any disciplinary history?
Highland Associates Inc answers yes to 13 disclosure items 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 Highland Associates 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 (2026-07-29), 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 →