Carol Elaine Cheeks

Hilltop Securities Asset Management, LLC

25 Years of Experience

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Firm Information

Hilltop Securities Asset Management, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

23 advisors

Number of Clients

54 clients

Average Client Portfolio

$586.8M average

Assets Under Management

$31.7B

Fee Structure

Financial Planning:Investment management only

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $25.0M	0.25%
$25.0M - $50.0M	0.20%
$50.0M - $100.0M	0.15%
$100.0M - $250.0M	0.10%
$250.0M - $500.0M	0.06%
$500M+	0.04%

Fees are negotiable on a case-by-case basis and all fees are billed in arrears.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

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HSAM offers several fee structures: a fixed or sliding percentage based on assets under management, a fixed annual fee, a transaction-based fee, or an hourly charge for consulting. Asset-based fees are negotiable and assessed quarterly. Clients may also incur administrative and custodial charges from their custodians. HSAM also charges fees for arbitrage rebate compliance services and bidding agent services.

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Areas of Practice

Investment Management

Advisor Information

Office location

Haymarket, VA

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Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.