Richard Feild

49 Years of Experience

Austin, TX

2 DisclosuresBroker

Richard Feild is a registered investment advisor at Hilltop Securities INC., based in Austin, TX, with 49 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.

Hilltop Securities INC.

Compensation

Fee-Only (% of Portfolio)Fixed/Hourly

Firm Size

180 advisors

Number of Clients

2,241 clients

Average Client Portfolio

$1.0M average

Assets Under Management

$2.3B

Fee Structure

Minimum Investment:$500K

Investment management only (planning not offered)

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.

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Location

7000 North Mopac Expressway, Suite 400, Austin, TX, 78731

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

September 1990

Settled

Regulatory

April 1982

Final

View Full SEC Report How to Read Disclosures

Other Business Activities

Richard is involved with multiple film production companies, acting as a co-writer, co-producer, executive producer, and investor. These activities take a few hours per week.

Employment History

Current Registrations

Hilltop Securities INC.

June 2013 - Present · 12 yrs 11 mos

Hilltop Securities INC.Broker

July 2012 - Present · 13 yrs 10 mos

Previous Registrations

Alps Distributors, INC.Broker

June 2009 - August 2012 · 3 yrs 2 mos

UBS Financial Services INC.Broker

December 2000 - May 2009 · 8 yrs 5 mos

Mitchell Hutchins Asset Management INC.Broker

April 1996 - December 2000 · 4 yrs 8 mos

Mitchell Hutchins Asset Management INC.Broker

November 1990 - February 1996 · 5 yrs 3 mos

Painewebber IncorporatedBroker

October 1988 - August 1990 · 1 yr 10 mos

Rotan Mosle INC.Broker

May 1986 - October 1988 · 2 yrs 5 mos

Prudential-Bache Securities INC.Broker

September 1977 - April 1986 · 8 yrs 7 mos

Bache Halsey Stuart INC.Broker

August 1976 - September 1977 · 1 yr 1 mo

Bache & CO IncorporatedBroker

February 1976 - August 1976 · 6 mos

Bache & CO., IncorporatedBroker

November 1975 - February 1976 · 3 mos

State Registrations53 states

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY

AdvisorBrokerBoth

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

No exam information available for this advisor.

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