{"url":"https://nivawealth.com/firms/highland-associates-104948","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104948","regulatoryAum":20990815180,"crd":"104948","secFileNumber":"801-30248","legalName":"Highland Associates Inc","displayName":"Highland Associates","website":"http://www.highlandassoc.com","linkedinUrl":"https://www.linkedin.com/company/highland-associates-birmingham-al/","founded":null,"organization":"Alabama corporation","fiscalYearEnd":"December","headquarters":{"street":"2545 Highland Avenue South, Suite 200","city":"Birmingham","state":"AL","stateName":"Alabama","country":"United States","postalCode":"35205"},"tradeNames":[],"registration":{"secApproved":"21 August 1987","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":19,"advisory":18,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":7450237813,"discretionaryAccounts":29,"nonDiscretionary":13540577367,"nonDiscretionaryAccounts":32,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":1483246004},{"label":"Pension and profit-sharing plans","clients":16,"regulatoryAum":6177298748},{"label":"Charitable organizations","clients":15,"regulatoryAum":692664566},{"label":"Insurance companies","clients":7,"regulatoryAum":478794545},{"label":"Corporations and other businesses","clients":23,"regulatoryAum":12158811317}],"fees":[],"feeNotes":[],"custodians":[{"name":"Principal Financial Group","shortName":"Principal Financial Group","location":"Minneapolis, MN","smaAssets":3486347966},{"name":"Bank of New York","shortName":"Bank of New York","location":"New York City, NY","smaAssets":2072041367},{"name":"Lincoln Financial","shortName":"Lincoln Financial","location":"Radnor, PA","smaAssets":2041242506},{"name":"PNC","shortName":"PNC","location":"Pittsburgh, PA","smaAssets":2591781169},{"name":"Principal Financial Group","shortName":"Principal Financial Group","location":"Houston, TX","smaAssets":1722447692}],"custodyNote":"Highland Associates has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Paige Daniel","title":"President","crd":"2518960"},{"name":"John Peterson","title":"Managing Director","crd":"3207374"},{"name":"Amanda Poe","title":"CCO","crd":"2333052"},{"name":"Eric Ralph","title":"Managing Director","crd":"6178380"},{"name":"Scott Sealock","title":"Managing Director","crd":"7821783"}],"ownership":[{"label":"Regions Bank","detail":"Direct owner in the 75% or more ownership band and a control person, since August 2019."},{"label":"Regions Financial Corporation","detail":"Indirect owner: a indirect owner of Regions Bank in the 75% or more band and a control person, since August 2019.","parent":"Regions Bank"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"2545 Highland Avenue South, Suite 200","city":"Birmingham","headquarters":true}]},{"state":"Missouri","offices":1,"addresses":[{"street":"8182 Maryland Avenue","city":"ST Louis"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"205-933-8664","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":39},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":24},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":32,"detail":"Separate Account Managers Account for the Majority of This Number and the Remaining Are Misc Investments Clients Are Involved in."}],"privateFunds":4},"sources":{"adv1FilingDate":"29 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/104948/PDF/104948.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Highland Associates have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Highland Associates offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Highland Associates use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Highland Associates have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Highland Associates invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Highland Associates?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Highland Associates get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}