HIGHLAND CAPITAL MANAGEMENT, LLC

HTTP://WWW.HIGHLANDCAP.COM MEMPHIS, TN Investment Advisor How do I update this listing?

Highland Capital Management is based out of Memphis. Highland Capital Management is a large advisory firm with 975 clients and discretionary assets under management (AUM) of $2,998,937,552 (Form ADV from 2019-08-01). Their last reported 13F filing for Q1 2020 included $1,061,393,000 in managed 13F securities and a top 10 holdings concentration of 25.6%. Highland Capital Management's largest holding is Microsoft Corp. with shares held of 394,660. Highland Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 83 13F filings

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03/31/2020

13F Activity

  • Market Value $1.061 Billion
  • Prior Market Value $1.441 Billion
  • New Purchases39 stocks
  • Additional Purchases105 stocks
  • Sold out of52 stocks
  • Reduced holdings in132 stocks
  • Top 10 Holdings % 25.60 %
  • Turnover % [1]:30.64%
  • Turnover Alt % [2]: 19.04 %
  • Time Held Top20:14.40 quarters
  • Time Held Top10:19.30 quarters
  • Time Held All:20.66 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 24.94%
Performance Last 4 Quarters: -6.14%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

HIGHLAND CAPITAL MANAGEMENT, LLC
6075 POPLAR AVENUE SUITE 703
MEMPHIS TN    38119
Country: United States

Business Phone: 901-761-9500
Fax: 901-761-5631
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TN
Number of employees: 25
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 839,192,000
Total Number of Clients: 975
Amount of client funds and securities by related persons: 510,228,000
Total Number of clients from related persons: 142
Disclosures: 11.H (2)
Data above was derived from SEC filings.

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HIGHLAND CAPITAL MANAGEMENT, LLC

ownership team - last updated 2020-03-25
Name Title Start Date Direct/Indirect % Ownership

HIGHLAND CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-06-25
Name Title Start Date Direct/Indirect % Ownership
WISHNIA, STEVEN PRESIDENT & CEO 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT & CEO direct 2012-12-01
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1994-03-01 2011-04-27
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT direct 2011-04-01 2012-04-17
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT, SOLD MEMBERSHIP INTERESTS direct 2012-12-01 2013-01-04
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT, SOLD MEMBERSHIP INTERESTS DEC2012 direct 2012-12-01 2014-12-10
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT direct 2012-12-01 2015-03-24
SPIVEY, DENISE, MARIE CHIEF COMPLIANCE OFFICER 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
ARGENT FINANCIAL GROUP, INC MEMBER 100% 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARGENT INVESTMENT SERVICES SOLE SHAREHOLDER direct 1991-11-01
ARGENT ADVISORS, INC. PARENT COMPANY direct 2001-03-01
HIGHLAND CAPITAL MANAGEMENT, LLC MEMBER 100% direct 2012-12-01
HERITAGE INSTITUTIONAL SERVICES, LLC MEMBER direct 2015-12-01
ARGENT ADVISORS, INC. SHAREHOLDER direct 1996-01-01 2003-01-07
SECTOR CAPITAL MANAGEMENT LLC PARENT COMPANY direct 2011-04-01 2013-04-03
STACK, STEVEN, MICHAEL COO / DIRECTOR OF PUBLIC FUNDS & PRIVATE WEALTH 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC COO / DIRECTOR OF PUBLIC FUNDS & PRIVATE WEALTH direct 2015-04-01
ICC CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2004-01-01
ICC CAPITAL MANAGEMENT INC COO/CCO direct 2004-01-01
ICC CAPITAL MANAGEMENT INC COO/CCO direct 2013-09-01
TINDAL, MICHAEL, HEFLIN DIRECTOR OF TAFT-HARTLEY SERVICES 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICC CAPITAL MANAGEMENT INC MANAGING DIRECTOR indirect 1997-12-01
HIGHLAND CAPITAL MANAGEMENT, LLC DIRECTOR OF TAFT-HARTLEY SERVICES direct 2015-04-01
ICC CAPITAL MANAGEMENT INC MARKETING DIRECTOR direct 1997-12-01 2002-09-04
ICC CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1997-12-01 2003-02-12
THOMPSON, DAVID, LEE CHIEF INVESTMENT OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-04-01
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR direct 1999-12-01 2001-11-19
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, SR. VP direct 1999-12-01 2003-11-17
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, SECRETARY, TREASURER OF BOARD direct 1999-12-01 2005-12-06
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, TREASURER OF BOARD direct 1999-12-01 2011-04-27

HIGHLAND CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-03-19
Name Title Start Date Direct/Indirect % Ownership
WISHNIA, STEVEN PRESIDENT & CEO 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT & CEO direct 2012-12-01
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1994-03-01 2011-04-27
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT direct 2011-04-01 2012-04-17
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT, SOLD MEMBERSHIP INTERESTS direct 2012-12-01 2013-01-04
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT, SOLD MEMBERSHIP INTERESTS DEC2012 direct 2012-12-01 2014-12-10
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT direct 2012-12-01 2015-03-24
SPIVEY, DENISE, MARIE CHIEF COMPLIANCE OFFICER 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
ARGENT FINANCIAL GROUP, INC MEMBER 100% 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARGENT INVESTMENT SERVICES SOLE SHAREHOLDER direct 1991-11-01
ARGENT ADVISORS, INC. PARENT COMPANY direct 2001-03-01
HIGHLAND CAPITAL MANAGEMENT, LLC MEMBER 100% direct 2012-12-01
HERITAGE INSTITUTIONAL SERVICES, LLC MEMBER direct 2015-12-01
ARGENT ADVISORS, INC. SHAREHOLDER direct 1996-01-01 2003-01-07
SECTOR CAPITAL MANAGEMENT LLC PARENT COMPANY direct 2011-04-01 2013-04-03
STACK, STEVEN, MICHAEL COO / DIRECTOR OF PUBLIC FUNDS & PRIVATE WEALTH 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC COO / DIRECTOR OF PUBLIC FUNDS & PRIVATE WEALTH direct 2015-04-01
ICC CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2004-01-01
ICC CAPITAL MANAGEMENT INC COO/CCO direct 2004-01-01
ICC CAPITAL MANAGEMENT INC COO/CCO direct 2013-09-01
TINDAL, MICHAEL, HEFLIN DIRECTOR OF TAFT-HARTLEY SERVICES 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICC CAPITAL MANAGEMENT INC MANAGING DIRECTOR indirect 1997-12-01
HIGHLAND CAPITAL MANAGEMENT, LLC DIRECTOR OF TAFT-HARTLEY SERVICES direct 2015-04-01
ICC CAPITAL MANAGEMENT INC MARKETING DIRECTOR direct 1997-12-01 2002-09-04
ICC CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1997-12-01 2003-02-12
THOMPSON, DAVID, LEE CHIEF INVESTMENT OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-04-01
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR direct 1999-12-01 2001-11-19
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, SR. VP direct 1999-12-01 2003-11-17
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, SECRETARY, TREASURER OF BOARD direct 1999-12-01 2005-12-06
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, TREASURER OF BOARD direct 1999-12-01 2011-04-27

HIGHLAND CAPITAL MANAGEMENT, LLC

ownership team - last updated 2017-05-09
Name Title Start Date Direct/Indirect % Ownership
WISHNIA, STEVEN PRESIDENT & CEO 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT & CEO direct 2012-12-01
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1994-03-01 2011-04-27
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT direct 2011-04-01 2012-04-17
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT, SOLD MEMBERSHIP INTERESTS direct 2012-12-01 2013-01-04
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT, SOLD MEMBERSHIP INTERESTS DEC2012 direct 2012-12-01 2014-12-10
HIGHLAND CAPITAL MANAGEMENT, LLC PRESIDENT direct 2012-12-01 2015-03-24
SPIVEY, DENISE, MARIE CHIEF COMPLIANCE OFFICER 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
ARGENT FINANCIAL GROUP, INC MEMBER 100% 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARGENT INVESTMENT SERVICES SOLE SHAREHOLDER direct 1991-11-01
ARGENT ADVISORS, INC. PARENT COMPANY direct 2001-03-01
HIGHLAND CAPITAL MANAGEMENT, LLC MEMBER 100% direct 2012-12-01
HERITAGE INSTITUTIONAL SERVICES, LLC MEMBER direct 2015-12-01
ARGENT ADVISORS, INC. SHAREHOLDER direct 1996-01-01 2003-01-07
SECTOR CAPITAL MANAGEMENT LLC PARENT COMPANY direct 2011-04-01 2013-04-03
STACK, STEVEN, MICHAEL COO / DIRECTOR OF PUBLIC FUNDS & PRIVATE WEALTH 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC COO / DIRECTOR OF PUBLIC FUNDS & PRIVATE WEALTH direct 2015-04-01
ICC CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2004-01-01
ICC CAPITAL MANAGEMENT INC COO/CCO direct 2004-01-01
ICC CAPITAL MANAGEMENT INC COO/CCO direct 2013-09-01
TINDAL, MICHAEL, HEFLIN DIRECTOR OF TAFT-HARTLEY SERVICES 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICC CAPITAL MANAGEMENT INC MANAGING DIRECTOR indirect 1997-12-01
HIGHLAND CAPITAL MANAGEMENT, LLC DIRECTOR OF TAFT-HARTLEY SERVICES direct 2015-04-01
ICC CAPITAL MANAGEMENT INC MARKETING DIRECTOR direct 1997-12-01 2002-09-04
ICC CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1997-12-01 2003-02-12
THOMPSON, DAVID, LEE CHIEF INVESTMENT OFFICER 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-04-01
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR direct 1999-12-01 2001-11-19
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, SR. VP direct 1999-12-01 2003-11-17
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, SECRETARY, TREASURER OF BOARD direct 1999-12-01 2005-12-06
HIGHLAND CAPITAL MANAGEMENT CORP DIRECTOR, TREASURER OF BOARD direct 1999-12-01 2011-04-27

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