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Highland Capital Partners: investment adviser

Highland Capital Partners LLC, doing business as Highland Capital Partners, is an investment adviser registered with the SEC (file 802-75686, CRD 161205). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.

Assets managed
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Discretionary
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Accounts
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Employees
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In advisory roles
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Disclosures
1

Company page · SEC adviser record · Full Form ADV (PDF)

The firm reports no custody of client cash or securities.

Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.

Who owns it

Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.

Direct owners (Schedule A)

OwnerTypeRoleStakeSinceControlPublic company
Robert J DavisPersonMemberB 10% to 25%Dec 2005Yes
Paul Albert MaederPersonMemberB 10% to 25%Jun 1988Yes
Corey Michael MulloyPersonMemberB 10% to 25%Jan 2016Yes
Daniel Joseph NowiszewiskiPersonMemberB 10% to 25%Jan 2002Yes
Sean Macmillan DaltonPersonMemberA 5% to 10%Dec 2005

Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.

Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.

Disciplinary history

What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.

Item 11 questions answered Yes

These questions cover the firm and its advisory affiliates.

  • Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?
  • Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: entered an order against you or any advisory affiliate in connection with investment-related activity?
  • Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?

Actions about the firm (1)

  1. Sep 15, 2022
    Regulatory Action: SEC FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s); Cease and desist censure · Fine: $95,000 · Begun Feb 15, 2022 · Resolved Sep 15, 2022 · Settled · Docket 3-21081

    The SEC alleged that a principal of registrant made a campaign contribution to an unsuccessful candidate for governor of Massachusetts, a state whose public pension plan had invested in venture capital funds advised by registrant. After the contribution registrant continued to provide advisory services for compensation to the venture capital funds. The public pension plan had already invested in funds at the time of the contribution, and the principal later sought and obtained a return of the contribution. Pursuant to an offer of settlement, the SEC found, and the registrant neither admitted nor denied, that the registrant violated section 206(4) of the Investment Advisers Act of 1940 and rule 206(4)-5 thereunder.

    MONETARY FINE WAS PAID ON 9/19/22. No Information Filed

Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.

The brochure

No brochure text was read for this firm.

Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.