SourcingSourcing

HIGHLAND ASSOCIATES INC

C41
CRD 104948·SEC 801-30248·BIRMINGHAM, AL
AUM
$20.99B
$1B+
Est. Revenue
$209.9M
@ 1% on AUM
Est. EBITDA
$63.0M
@ 30% margin
Est. Deal Value
$503.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HIGHLAND ASSOCIATES INC
CRD
104948
SEC file #
801-30248
EIN
300894014
DBA names
—

Economics

AUM
$20.99B
AUM band
$1B+
AUM trajectory
'20'26
$25.89B → $20.99B▼ -19%
Client mix
Corporations23
Pension Profit Sharing Plans16
Charitable Organizations15
Insurance Companies7
Pooled Investment Vehicles4

Operations

Employees (total)
19
Advisory staff (per ADV)
18
Advisory staff (5-yr trend)
'20'26
29 advisors → 18 advisors▼ -38%
Primary office
BIRMINGHAM AL
Branches
—

Custodian & Brokerage

Primary custodian
State Streetlow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
linkedin.com/company/highland-associates-birmingham-al(social)

Compliance

Disclosures (firm)
8
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
REGIONS BANK
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
REGIONS BANK
DANIEL, PAIGE, BRISCOE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
8
Form 5500 Total Participants
110
Form 5500 Total Compensation
467,041
Form 5500 Compensation Trajectory 3y
2025467,041
20240
Form 5500 Plan Count Trajectory 3y
20257
20241
Schedule C Total Compensation
467,041
Schedule C Service Provider Rows
8

SEC EDGAR

Edgar Cik
0001669127
Edgar Registered
Yes
Edgar Filing Count
11
Edgar First Filing Date
2016-03-10
Edgar Last Filing Date
2026-04-17
Edgar Form D Count
11
Edgar Form D Offerings
2026-04-172026-04-17 · 0001669127-26-000001
2025-04-242025-04-24 · 0001753556-25-000005
Edgar Former Names
Highland Direct Hedged Equity Fund

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
State Street6
E*trade4
Bny Mellon2
Morgan Stanley2
Edgar Addresses
Mailing
C/O GLOBAL TRUST COMPANY12 GILL STREET, SUITE 2600WOBURN, MA 01801
Business
C/O GLOBAL TRUST COMPANY12 GILL STREET, SUITE 2600WOBURN, MA 01801
Edgar EIN
300894014
Edgar Recent Filings
D/A2026-04-17 · 0001669127-26-000001
D/A2025-04-24 · 0001753556-25-000005
Fee Schedule
Bracket Ix39
Bracket Xii32
Bracket X24
Bracket I3
Bracket Xi2
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (5)

5
PETERSON, JOHN, DEREK
IAR · Executive Officer · 2.5%
3207374
DANIEL, PAIGE, BRISCOE
IAR · Executive Officer · 2.5%
2518960
RALPH, ERIC, JASON
Executive Officer · 2.5%
6178380
SEALOCK, SCOTT, WILLIAM
Executive Officer · 2.5%
7821783
POE, AMANDA, HORNER
Executive Officer · 2.5%
2333052