Hilltop Securities inc.

Hilltop Securities Inc. provides brokerage, execution, clearing, custody, investment advisory and retirement-plan consulting to individuals, corporations, nonprofit and institutional clients; the firm reports approximately $2.25 billion in assets under management and a team of registered Investment Adviser Representatives supporting managed account programs. Its services include financial planning, discretionary and non-discretionary portfolio management through multiple wrap and UMA/SMA programs, and retirement-plan fiduciary and consulting services under ERISA arrangements.

HTS delivers investment solutions through an open-architecture platform that uses Envestnet for portfolio trading, model implementation and overlay services, and offers a mix of adviser-managed (Aviator/Co‑Pilot) and manager/model-based programs (Passport Series, Momentum Pathways, Gateway FSP, Compass, Navigator, Endeavor). The firm documents client objectives with a Statement of Investment Selection and Risk Tolerance Questionnaire and provides options such as tax- and impact-overlay services, semi-annual or annual rebalancing, and a variety of fixed-income, equity, ETF, mutual fund and structured-product strategies.

A number of operational features distinguish HTS from many peers: HTS sponsors HTSPM Municipal Bond Strategies that are co-advised by Franklin Templeton Group, LLC and sub-advised by Western Asset Management, and it discloses that “all Client Program assets will be custodied with Hilltop Securities, Inc. as qualified custodian,” reflecting custody capabilities that are uncommon among enterprise advisers. The brochure also shows affiliations and activities beyond a typical advisory roster — including connections to a banking affiliate used in the firm’s bank‑insured deposit sweep program, access to certain commodity/futures and derivative strategies, and registrations/relationships that support municipal advisory and NFA/derivatives activity — features that broaden the firm’s product and operational scope relative to many peers.