# HILLTOP SECURITIES ASSET MANAGEMENT, LLC

HILLTOP SECURITIES ASSET MANAGEMENT, LLC of DALLAS, TX is an SEC-registered investment adviser.

## Registration

- CRD: 110760
- Type: SEC-registered investment adviser
- SEC file number: 801-40189
- Location: 717 N. HARWOOD STREET, SUITE 3400, DALLAS, TX, 75201
- Phone: 214-953-4000
- Latest filing: 2026-03-26
- Regulatory AUM: $37.7B
- Non-discretionary AUM: $37.7B
- Clients: 31
- Accounts: 60

## Business model

- Compensation: % of AUM, Hourly, Fixed, Other
- Clients served: Pooled vehicles, Other

## Officers, owners & control persons (28)

_Showing 25 of 28 people._

| Name | Role | Location |
| --- | --- | --- |
| Martin Bradley Winges | CEO; CHAIRMAN OF THE BOARD | Minneapolis, MN |
| David King Medanich | BOARD MANAGER | Dallas, TX |
| Joseph Michael Edge | CHIEF FINANCIAL OFFICER | Dallas, TX |
| Brian Lane Wittneben | SECRETARY/GENERAL COUNSEL | Dallas, TX |
| Scott Andrew Coya | CHIEF COMPLIANCE OFFICER | — |
| Mary Ann Dunda | PRESIDENT AND BOARD MEMBER | — |
| BURKE JAMES PATRICK | PRESIDENT, INVESTMENT MANAGEMENT | — |
| COGLIANO MICHAEL ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| WINGES MARTIN BRADLEY | CEO; CEO/PRESIDENT; CHAIRMAN AND CEO (+1 more) | — |
| FOLEY PAUL FRANCIS | CHIEF COMPLIANCE OFFICER/ AML OFFICER | — |
| BASS PAUL MILTON | DIRECTOR | — |
| FEINBERG HILLEL ARNOLD | CHAIRMAN, BOARD OF DIRECTORS; CHAIRMAN/CEO; CHAIRMAN OF THE BOARD OF MANAGERS/CEO (+2 more) | — |
| CAMPBELL DONALD NONE | CHIEF LEGAL OFFICER; PRESIDENT | — |
| TIMM WILLIAM CONNELL | CHIEF FINANCIAL OFFICER | — |
| FERTIG SCOTT OGDEN | CHIEF COMPLIANCE OFFICER; DIRECTOR OF COMPLIANCE | — |
| MARZ MICHAEL JOHN | BOARD MANAGER; DIRECTOR | — |
| SCHLOSBERG PAUL EDWARD | CHAIRMAN & CEO | — |
| COULTER ROBERT VINCENT | CHIEF COMPLIANCE OFFICER / AML OFFICER | — |
| COMMONS DAVID ALAN | CHIEF FINANCIAL OFFICER | — |
| MEDANICH DAVID KING | BOARD DIRECTOR; BOARD MANAGER; PRESIDENT | — |
| HOLT DAVID ERIC | CHIEF COMPLIANCE OFFICER / AML OFFICER | — |
| COOK KAREN LUNDSKOW | LEGAL COUNSEL | — |
| MORRIS BLAKE BARNES | CHIEF COMPLIANCE OFFICER / AML OFFICER | — |
| WITTNEBEN BRIAN LANE | SECRETARY/GENERAL CONUSEL; SECRETARY/GENERAL COUNSEL | — |
| EDGE JOSEPH MICHAEL | CHEIF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER | — |


## Disclosures (2)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLED ORDER FINDING THAT HILLTOP SECURITIES INC. ("HILLTOP") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO HILLTOP'S BROKER-DEALER BUSINESS, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF… | Final | $1.6M |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/110760/brochure
- Similar advisers: https://search.stillhousedata.com/firm/110760/similar
- Related entities: https://search.stillhousedata.com/firm/110760/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/110760

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.