Richard Galen is a registered investment advisor at Hilltop Securities INC., based in Dallas, TX, with 38 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments. Their firm serves 2,241 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The Horizon Program fee is a negotiated annual flat fee, not to exceed 1.75%, billed quarterly in advance. This fee covers investment advice and reporting. The fee is debited from a separate account the client has with Hilltop Securities, not directly from the Horizon account. The value of alternative investments is based on information provided by the product sponsors and administrators, which may be delayed and not current. This fee is in addition to the investment management fees and other expenses charged by the Alternative Investment Funds and Structured Products.
Location
8201 Preston Rd., Suite 600, Dallas, TX, 75225
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Current Registrations
Hilltop Securities INC.Broker
Hilltop Securities INC.
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
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State Registrations6 states
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