Clients
Highland Associates serves 65 clients, 23 of them corporations and other businesses. The average client has about $323 million with the firm.
- Pooled investment vehicles4 clients7%
- Pension and profit-sharing plans16 clients29%
- Charitable organizations15 clients3%
- Insurance companies7 clients2%
- Corporations and other businesses23 clients58%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Pooled investment vehicles | 4 | $1,483,246,004 | 7.1% | $370.8M |
| Pension and profit-sharing plans | 16 | $6,177,298,748 | 29.4% | $386.1M |
| Charitable organizations | 15 | $692,664,566 | 3.3% | $46.2M |
| Insurance companies | 7 | $478,794,545 | 2.3% | $68.4M |
| Corporations and other businesses | 23 | $12,158,811,317 | 57.9% | $528.6M |
| Total | 65 | $20,990,815,180 | 100% | $322.9M |
- Clients
- 4
- Regulatory AUM
- $1,483,246,004
- Share
- 7.1%
- Avg. per client
- $370.8M
- Clients
- 16
- Regulatory AUM
- $6,177,298,748
- Share
- 29.4%
- Avg. per client
- $386.1M
- Clients
- 15
- Regulatory AUM
- $692,664,566
- Share
- 3.3%
- Avg. per client
- $46.2M
- Clients
- 7
- Regulatory AUM
- $478,794,545
- Share
- 2.3%
- Avg. per client
- $68.4M
- Clients
- 23
- Regulatory AUM
- $12,158,811,317
- Share
- 57.9%
- Avg. per client
- $528.6M
Total
- Clients
- 65
- Regulatory AUM
- $20,990,815,180
- Share
- 100%
- Avg. per client
- $322.9M
What it does
Highland Associates provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting and selecting other managers. It is paid through a percentage of assets and fixed fees.
Highland Associates provided financial planning to 0 clients last fiscal year and advises 4 private funds.
35.5% of assets ($7.45B across 29 accounts) are managed with discretion; $13.54B across 32 accounts are not. 0% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
What the accounts hold
- Stocks3%
- Funds63%
- Registered funds39%
- Pooled vehicles24%
- Cash2%
- Other32%
- Separate account managers account for the majority of this number and the remaining are misc investments clients are involved in.32%
Custodians
Highland Associates’ client accounts are held mainly at Principal Financial Group, with 17% of managed assets, and PNC, with 12%. Highland Associates has custody of client assets.
- Principal Financial GroupPrincipal Financial Group · Minneapolis, MN · $3.49B17%
- Bank of New YorkBank of New York · New York City, NY · $2.07B10%
- Lincoln FinancialLincoln Financial · Radnor, PA · $2.04B10%
- PNCPNC · Pittsburgh, PA · $2.59B12%
- Principal Financial GroupPrincipal Financial Group · Houston, TX · $1.72B8%
- All other custodians$9.08B43%
Ownership and leadership
Regions Bank owns 75% or more of Highland Associates.
- Owns 75% or more of Highland Associates Inc
Regions Bank
Control person · since August 2019
- Owns 75% or more of Regions Bank
Regions Financial Corporation
Control person · since August 2019
Leadership
- Paige DanielPresident
- John PetersonManaging Director
- Amanda PoeCCO
- Eric RalphManaging Director
- Scott SealockManaging Director
Staff
- 19 employees
- 18 in advisory functions
- 2 state-registered reps
- 1 broker-dealer rep
Fees
Highland Associates is paid through a percentage of assets under management and fixed fees (other than subscription fees).
Highland Associates’ fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Highland Associates has 1 office, with 2 listed addresses across 2 states.
Alabama · 1 listed address
- 2545 Highland Avenue South, Suite 200, BirminghamHQ
Missouri · 1 listed address
- 8182 Maryland Avenue, ST Louis
Registration details
- Legal name
- Highland Associates Inc
- Headquarters
- 2545 Highland Avenue South, Suite 200, Birmingham, AL 35205
- Phone
- 205-933-8664
- Website
- www.highlandassoc.com
- SEC file
- 801-30248
- Structure
- Alabama corporation
- Fiscal year end
- December
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does Highland Associates have?
Highland Associates has 65 clients and manages $21 billion for them, as of July 2026. They include 23 corporations and other businesses, 16 pension and profit-sharing plans and 15 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 29 July 2026
What services does Highland Associates offer?
Highland Associates provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Highland Associates use?
Highland Associates’ separately managed account assets are held at Principal Financial Group (Minneapolis, MN), with $3,486,347,966, PNC (Pittsburgh, PA), with $2,591,781,169, Bank of New York (New York City, NY), with $2,072,041,367, Lincoln Financial (Radnor, PA), with $2,041,242,506 and Principal Financial Group (Houston, TX), with $1,722,447,692. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 July 2026
How many financial advisors does Highland Associates have?
Highland Associates has 2 investment adviser representatives registered with state securities authorities, out of 19 employees, and 18 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 0 are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Highland Associates invest in?
At the end of its last fiscal year, Highland Associates’ separately managed accounts held 39% registered funds (mutual funds, ETFs, BDCs), 32% separate account managers account for the majority of this number and the remaining are misc investments clients are involved in., 24% pooled vehicles (private funds and similar), 3% exchange-traded equities and 2% cash and equivalents. It advises 4 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Highland Associates?
Highland Associates is owned through a holding company by Regions Financial Corporation. Its direct owner is Regions Bank (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 29 July 2026
How does Highland Associates get paid?
Highland Associates is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file