H
Highland Capital Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$23,839,775
Clients
105
9% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
105
Very HighAverage account size
$227,045
About
Highland Capital Advisors, LLC is a fee-only, fiduciary-always registered investment adviser that provides ongoing portfolio management, comprehensive financial planning, and retirement-plan design and advisory services to individuals, families, 401(k) plans, businesses, municipalities, nonprofits and trusts. The firm delivers both discretionary and non-discretionary management as well as menu-driven and comprehensive planning engagements tailored to client needs.
The firm emphasizes a client-centered, values-based process and documents objectives and constraints in an Investment Policy Statement that guides multi-strategy portfolios. Investment implementation blends strategic and tactical allocation, alternative and principal-protection strategies, and uses fundamental, technical, charting and quantitative analysis; custodial choices include institutional platforms as well as retail custodians.
Several operational and product features distinguish the firm from many peers: it manages accounts directly on an institutional Interactive Brokers platform with broad global market access and institutional pricing, and it has approved an advisor-only Nationwide Monument Advisor variable annuity as a limited tax-deferred option for certain clients. The firm also offers formal 3(38) fiduciary management for retirement plans, supports customized values-based portfolios (including an explicitly stated Catholic Values investing option), and the principal owner serves in the firm’s chief investment and compliance roles.
Client services
Financial planning
Portfolio management
Advisory 401k / 403b retirement plan services, supervising iar activities as indepenedent insurance agents
Advisory 401k / 403b retirement plan services, supervising iar activities as indepenedent insurance agents
Expertise
Annuities
Options & derivatives strategies
Retirement plans for business owners (SEP, solo 401k)
Cash flow / budgeting
Occupation focus
Founder/Business Owner
Executive
Demographic focus
Values-based investing
Fee options
Fixed fees for financial planning services ranging from $125 to $7,600 depending on service complexity.
$1 - $100,000: 2.00% $100,001 - $500,000: 1.75% $500,001 - $1,000,000: 1.50% Above $1,000,000+: 1.25%
$75 to $250 per hour, depending on complexity and scope.
Account minimum: $25,000 unless prior approval is obtained Fee-only: Fee-only Registered Investment Adviser; no commissions received.
Main office location
Highland Capital Advisors, LLC
Louisville KY, United States
Number of offices
1
Most active in
Highland Capital Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
Kentucky · North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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