Broker-dealer firm · Dallas, TX
Hilltop Securities Inc.
SEC-registered investment adviser · CRD 6220 · SEC 801-55529
At a glance
Hilltop Securities Inc. is an SEC-registered investment adviser based in Dallas, Texas, with $2.5 billion in regulatory assets under management as of its Form ADV filed August 11, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 3,335 individual clients. By Form ADV it is a broker-dealer firm, ranked 120th of 391 broker-dealer firms and 3,170th of 17,210 SEC-registered advisers by assets.
Main office 214-953-4000hilltopsecurities.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.5B
- Rank among broker-dealer firms
- #120 of 391
- Rank among all SEC RIAs
- #3,170 of 17,210
- Rank in Texas
- #156 of 1,081
- Individual clients
- 3,335
- High-net-worth clients
- 599
- Accounts
- 5,592
- Discretionary
- 72% of AUM
- Employees
- 92
- Advisory staff
- 92
- Offices
- 19
Owners and executives on its Form ADV
- Laura LeventhalBoard Director
- Joseph Michael EdgeChief Financial Officer
- Laura LeventhalTreasurer/chief Accounting Officer/principal Financial Officer
- Brian Lane WittnebenGeneral Counsel/secretary
- David King MedanichBoard Director
- Laura Bonnell AlexanderBoard Director
- Martin Bradley WingesCeo/president/director
- Jonathan Scott SobelChairman
- Joseph Michael EdgeBoard Director
- Scott Andrew CoyaChief Compliance Officer
- Romeo Linsangan PinedaPrincipal Operations Officer
- Michael George BartolottaBoard Director
Custody and brokerage
Custodian
Hilltop Securities Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Hilltop Securities Inc. is a hybrid RIA: 91 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Momentum Independent Network Inc..
- Momentum Independent Network Inc. ↗CRD 17587
Its Form ADV brochure (filed March 2026) names Hilltop Securities as the broker-dealer its advisers are registered with.
For Clients of IARs registered through HTS, trading activity is reviewed on a daily basis by the Branch Manager or designee assigned to the IAR.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 599 | $1.4B | 57% |
| Individuals | 2,736 | $829M | 33% |
| Corporations or other businesses | 49 | $126M | 5% |
| State or municipal government entities | 5 | $73M | 3% |
| Charitable organizations | 11 | $28M | 1% |
| Pension and profit sharing plans | 7 | $19M | <1% |
Disciplinary disclosures
Hilltop Securities Inc. answers yes to 94 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
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗hilltopsecurities.com ↗
AtlasMembers
The full record on Hilltop Securities 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 93 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 12 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 Hilltop Securities Inc. manage?
Hilltop Securities Inc. reports $2.5 billion in regulatory assets under management across 5,592 accounts, 72% of it on a discretionary basis, on its Form ADV filed August 11, 2026.
What kind of firm is Hilltop Securities Inc.?
Hilltop Securities Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Hilltop Securities Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($1.4 billion, 599 clients); individuals ($829 million, 2,736 clients); corporations or other businesses ($126 million, 49 clients).
Does Hilltop Securities Inc. have any disciplinary history?
Hilltop Securities Inc. answers yes to 94 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 Hilltop Securities 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 (2026-08-11), 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 →