Highland Capital Management, Llc
SEC-registered
Investment Adviser · Mid-sized ($1B–$10B)
CRD 104842
· SEC file 801-8762
· Memphis, TN
· www.linkedin.com
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ADV data as of Jul 08, 2026
- Regulatory AUM
- $3.9B
- Discretionary
- $3.9B
- Clients
- 957
- Avg AUM / client
- $4.1M
- Accounts
- 957
- Employees
- 21
AUM over time
$1.2B
$3.9B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 206 | $82.7M | 2.13% |
| High net worth individuals | 450 | $1.2B | 31.0% |
| Investment companies | 1 | $74.9M | 1.93% |
| Pooled investment vehicles (non-investment companies) | 2 | $1.8M | 0.05% |
| Pension and profit sharing plans | 85 | $891M | 23.0% |
| Charitable organizations | 77 | $499M | 12.9% |
| State or municipal government entities | 107 | $903M | 23.3% |
| Corporations and other businesses | 15 | $112M | 2.9% |
| Other | 14 | $113M | 2.91% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Ibew Local 505 Neca Pension Plan Ibew Local 505 Neca Pension Plan | Mobile, AL | 2024 |
| International Union Of Painters And Allied Trades District Council No. 21 Annuity Fund International Union Of Painters & Allied Trades Dc No. 21 Annuity Fund | 2024 | |
| Mid South Regional Council Local 318 Money Mid South Regional Council Local 318 Money Purchase Pension Trust | 2024 | |
| U. A. Local Union No. 614 Pension Plan Trustees U. A. Local Union No. 614 Pension Plan | 2024 | |
| Plumbers Local Union No. 17 Pension Plan Joint Board Of Trustees Plumbers Local Union No. 17 Pension Plan | 2024 | |
| Sheet Metal Workers Local 441 Supplemental Pension Plan Sheet Metal Workers Local 441 Supplemental Pension Plan | 2024 | |
| Painting Industry Annuity Fund Board Of Trustees Of The Painting Industry Annuity Fund | 2024 | |
| International Association Of Heat & Frost Insulators & Allied Workers Local 78 Pension Plan International Association Of Heat & Frost Insulators & Allied | 2024 | |
| Local 1205 Pension Fund Board Of Trustees Of Local 1205 Pension Fund | Farmingdale, NY | 2024 |
| Anderson Tully Salaried Employees' Pension Plan Anderson Tully Lumber Company, Llc | 2024 | |
| Bricklayers Supplemental Annuity Fund Board Of Trustees Bricklayers Supplemental Annuity Fund | 2024 | |
| Stone Setters Annuity Fund Local 84 Board Of Trustees Of Stone Setters | 2024 | |
| Tri State Carpenters And Joiners Pension Trust Fund Board Of Trustees Tri State Carpenters And Joiners Pension | 2024 | |
| Local 338 Retirement Fund Trustees Local 338 Retirement Fund | 2024 |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Lee Thompson | Chief Investment Officer/Director Of Private Wealth | CFA | Mar 2004 (22y) | Less than 5% |
| Steven Wishnia | President & Ceo | Mar 2004 (22y) | Less than 5% | |
| Tindal, Michael, Heflin | Director Of Taft Hartley Services | Apr 2015 (11y) | Less than 5% | |
| Montgomery, Lori, Nelms | Chief Compliance Officer | Feb 2023 (4y) | Less than 5% | |
| Mark Joseph Cronin | Registered representative | CFA | Mar 2004 (22y) | |
| Scott Eric Notowich | Registered representative | Feb 2014 (12y) | ||
| Steven Michael Stack | Registered representative | Jul 2015 (11y) | ||
| Todd Ian Wishnia | Registered representative | Oct 2016 (10y) | ||
| Andrew Travis O'sullivan | Registered representative | CFA | Mar 2017 (9y) | |
| Bart Nmi Mcmurry | Registered representative | Nov 2019 (7y) | ||
| James Donald Klepper | Registered representative | Aug 2024 (2y) | ||
| Benjamin Joseph Granger | Registered representative | CFA | Oct 2024 (2y) | |
| Lelia Woodley Coggins | Registered representative | Feb 2025 (1y) | ||
| Alan M Erickson | Registered representative | CFA | Aug 2025 (1y) | |
| Shibahn Singh Rodda | Registered representative | Feb 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Argent Financial Group, Inc | Member 100% | Dec 2012 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (14)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Ibew Local 505 Neca Pension Plan | Ibew Local 505 Neca Pension Plan | 442 | $71.7M | 09/01/2024 |
| International Union Of Painters And Allied Trades District Council No. 21 Annuity Fund | International Union Of Painters & Allied Trades Dc No. 21 Annuity Fund | 5,163 | $220M | 07/01/2024 |
| Mid South Regional Council Local 318 Money | Mid South Regional Council Local 318 Money Purchase Pension Trust | 0 | $0 | 06/01/2024 |
| U. A. Local Union No. 614 Pension Plan | Trustees U. A. Local Union No. 614 Pension Plan | 1,978 | $204M | 04/01/2024 |
| Plumbers Local Union No. 17 Pension Plan | Joint Board Of Trustees Plumbers Local Union No. 17 Pension Plan | 292 | $45.0M | 04/01/2024 |
| Sheet Metal Workers Local 441 Supplemental Pension Plan | Sheet Metal Workers Local 441 Supplemental Pension Plan | 328 | $13.7M | 01/01/2024 |
| Painting Industry Annuity Fund | Board Of Trustees Of The Painting Industry Annuity Fund | 5,406 | $884M | 01/01/2024 |
| International Association Of Heat & Frost Insulators & Allied Workers Local 78 Pension Plan | International Association Of Heat & Frost Insulators & Allied | 176 | $39.8M | 01/01/2024 |
| Local 1205 Pension Fund | Board Of Trustees Of Local 1205 Pension Fund | 720 | $269M | 01/01/2024 |
| Anderson Tully Salaried Employees' Pension Plan | Anderson Tully Lumber Company, Llc | 0 | $9.8M | 01/01/2024 |
| Bricklayers Supplemental Annuity Fund | Board Of Trustees Bricklayers Supplemental Annuity Fund | 1,211 | $97.7M | 01/01/2024 |
| Stone Setters Annuity Fund Local 84 | Board Of Trustees Of Stone Setters | 116 | $25.9M | 01/01/2024 |
| Tri State Carpenters And Joiners Pension Trust Fund | Board Of Trustees Tri State Carpenters And Joiners Pension | 2,259 | $452M | 01/01/2024 |
| Local 338 Retirement Fund | Trustees Local 338 Retirement Fund | 1,749 | $607M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/08/2026 | 1.41 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • SUBSCRIPTION FEES
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Argent Trust Company $774M (20% of AUM) Jul 2026
- Salem Trust Company $614M (16% of AUM) Jul 2026
- Charles Schwab & Co. $550M (14% of AUM) Jul 2026
- Suntrust Bank $413M (14% of AUM) Oct 2020
- Truist Financial Corp $411M (11% of AUM) Jul 2026
- First Tennessee Bank National Association $356M (12% of AUM) Oct 2020
- First Horizon Bank $310M (10% of AUM) Jan 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 08, 2026.
View current Form ADV (SEC/IAPD) ↗