Thomas Du is a registered investment advisor at Hilltop Securities INC., based in Dallas, TX, with 3 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,407 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 3.00% |
| $250K - $500K | 2.50% |
| $500K - $1000K | 2.25% |
| $1.0M - $4.0M | 2.00% |
| $4M+ | 1.85% |
Rates reflect maximum wrap fee schedules across primary advisory programs (such as Compass UMA and Gateway FSP). Fees are negotiable and vary by program.
Fee Estimator
Location
717 N. Harwood Street, Suite 3400, Dallas, TX, 75201
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
May 2024Other Business Activities
Thomas drives boats for Dallas Boat Rentals, a boat rental company, as needed. This non-investment related activity takes minimal time.
Employment History
Current Registrations
Momentum Independent Network INC.Broker
Hilltop Securities INC.Broker
Hilltop Securities Asset Management, LLC
Momentum Independent Network INC.
Hilltop Securities INC.
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Advisors
Fidelity Brokerage Services LLCBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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