Hedge Fund Database

HERITAGE WEALTH MANAGEMENT, LLC

Adviser information for HERITAGE WEALTH MANAGEMENT, LLC last updated from Form ADV on March 31st, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Arizona, United States

Employees

Total Number of Employees 28
Investment Advisory/Research 18
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 18
Licensed Agents of an Insurance Company 9
No. of Firms/People that Solicit Clients 9

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 807 $545.1M
Non-Discretionary 0 $0
Total 807 $545.1M

Clients

Type Number RAUM
Individuals 643 $259.3M
HNW Individuals 158 $283.1M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $256,670
Charitable organizations <5 $52,276
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $2.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-110550
SEC ERA File Number 801-110550
SEC CIK Numbers 1834505
SEC CRD Numbers 287909
Legal Entity Identifier None

Principal Office

2355 E. CAMELBACK ROAD
STE. 330
PHOENIX
AZ
United States
Monday - Friday, 8:30AM - 5:00 PM
Tel: 602-775-5400, Fax: 602-775-5451

Websites

www.instagram.com/heritagefamilyoffices/ twitter.com/heritagefollp www.linkedin.com/company/heritage-family-offices-llp/ www.facebook.com/heritagefo/ www.heritagefo.com

Chief Compliance Officer

DAVID MAXEY
MANAGING MEMBER
2355 E. CAMELBACK ROAD
STE. 330
PHOENIX
AZ
United States
Tel: 602-775-5400
Fax: 602-775-5451
(Full email address available in API data)

Regulatory Contact

LEILA SHAVER
COUNSEL
14138 SEABISCUIT
ALPHARETTA
GA
United States
Tel: 770-462-2118
(Full email address available in API data)

Industry Affiliates

FROST & ASSOCIATES, LLC Insurance company or agency
HERITAGE INSURANCE ADVISORS, LLC Insurance company or agency
HFO CERTIFIED PUBLIC ACCOUNTANTS, LLP Accountant or accounting firm
HFO LAW, LLP Lawyer or law firm

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FROST, MICHAEL, BRENT Individual – MANAGING MEMBER 04/2017 25-50%
MAXEY, DAVID, ELGIN Individual – MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 04/2017 10-25%
Nelson, Ralph, Erwin Individual – MANAGING MEMBER 04/2017 25-50%

No. Employees, Historic

301502019202020212022202320248 on 6/3/20198 on 12/3/20198 on 3/19/202016 on 3/26/202016 on 4/15/202016 on 6/30/202014 on 8/3/202014 on 9/11/202014 on 9/29/202014 on 9/30/202014 on 10/2/202014 on 11/18/202027 on 3/31/202127 on 4/6/202127 on 4/29/202128 on 5/28/202128 on 11/2/202128 on 11/23/202128 on 1/4/202228 on 3/15/202228 on 4/5/202228 on 4/28/202228 on 5/4/202228 on 7/22/202228 on 8/5/202228 on 12/22/202228 on 1/20/202328 on 3/31/2023

RAUM, Historic

600M300M0201920202021202220232024153839494 on 6/3/2019153839494 on 12/3/2019153839494 on 3/19/2020206322549 on 3/26/2020206322549 on 4/15/2020206322549 on 6/30/2020206322549 on 8/3/2020206322549 on 9/11/2020206322549 on 9/29/2020206322549 on 9/30/2020206322549 on 10/2/2020206322549 on 11/18/2020382657611 on 3/31/2021382657611 on 4/6/2021382657611 on 4/29/2021382657611 on 5/28/2021382657611 on 11/2/2021382657611 on 11/23/2021382657611 on 1/4/2022590516414 on 3/15/2022590516414 on 4/5/2022590516414 on 4/28/2022590516414 on 5/4/2022590516414 on 7/22/2022590516414 on 8/5/2022590516414 on 12/22/2022590516414 on 1/20/2023545050946 on 3/31/2023

No. Clients, Historic

1,0005000201920202021202220232024372 on 6/3/2019372 on 12/3/2019372 on 3/19/2020318 on 3/26/2020318 on 4/15/2020318 on 6/30/2020318 on 8/3/2020318 on 9/11/2020318 on 9/29/2020318 on 9/30/2020318 on 10/2/2020318 on 11/18/2020549 on 3/31/2021549 on 4/6/2021549 on 4/29/2021549 on 5/28/2021549 on 11/2/2021549 on 11/23/2021549 on 1/4/2022961 on 3/15/2022961 on 4/5/2022961 on 4/28/2022961 on 5/4/2022961 on 7/22/2022961 on 8/5/2022961 on 12/22/2022961 on 1/20/2023801 on 3/31/2023

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 646K 6K –
ABBVIE INC COM 2M 9K –
ACCENTURE PLC IRELAND SHS CLASS A 2M 6K –
ADDUS HOMECARE CORP COM 243K 2K –
ADVANCED ENERGY INDS COM 205K 2K –
ALCON AG ORD SHS 754K 8K –
ALLEGION PLC ORD SHS 302K 3K –
ALPHABET INC CAP STK CL C 227K 1K –
ALTRIA GROUP INC COM 324K 7K –
AMAZON COM INC COM 206K 1K –
ANALOG DEVICES INC COM 2M 9K –
AON PLC SHS CL A 728K 2K –
APPLE INC COM 3M 16K –
ASML HOLDING N V N Y REGISTRY SHS 1M 1K –
ASPEN TECHNOLOGY INC COM 333K 2K –
ASTRAZENECA PLC SPONSORED ADR 710K 9K –
BALCHEM CORP COM 206K 1K –
BENCHMARK ELECTRS INC COM 256K 6K –
BENTLEY SYS INC COM CL B 499K 10K –
BERKLEY W R CORP COM 429K 5K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 307K 755 –
BJS WHSL CLUB HLDGS INC COM 309K 4K –
BLACKBAUD INC COM 220K 3K –
BLACKROCK ETF TRUST II AAA CLO ETF 926K 18K –
BOOT BARN HLDGS INC COM 284K 2K –
BRIGHT HORIZONS FAM SOL IN D COM 310K 3K –
BROADCOM INC COM 2M 1K –
CHARLES RIV LABS INTL INC COM 349K 2K –
CHECK POINT SOFTWARE TECH LT ORD 793K 5K –
CHEMED CORP NEW COM 282K 520 –
CHOICE HOTELS INTL INC COM 252K 2K –
CISCO SYS INC COM 688K 14K –
CNX RES CORP COM 226K 9K –
COMCAST CORP NEW CL A 1M 28K –
CONOCOPHILLIPS COM 2M 14K –
COOPER COS INC COM 430K 5K –
COSTCO WHSL CORP NEW COM 202K 238 –
CSW INDUSTRIALS INC COM 253K 954 –
DEERE & CO COM 636K 2K –
DOLBY LABORATORIES INC COM CL A 325K 4K –
ELI LILLY & CO COM 2M 2K –
EMERSON ELEC CO COM 2M 14K –
ENPRO INC COM 269K 2K –
EOG RES INC COM 900K 7K –
EQUIFAX INC COM 399K 2K –
EXPONENT INC COM 288K 3K –
EXXON MOBIL CORP COM 279K 2K –
FAIR ISAAC CORP COM 374K 251 –
FRANKLIN ELEC INC COM 217K 2K –
GALLAGHER ARTHUR J & CO COM 2M 6K –
GENUINE PARTS CO COM 598K 4K –
GRAY TELEVISION INC COM 71K 14K –
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 366K 7K –
HALEON PLC SPON ADS 700K 85K –
HENRY JACK & ASSOC INC COM 362K 2K –
HERSHEY CO COM 562K 3K –
HOME DEPOT INC COM 2M 5K –
HONEYWELL INTL INC COM 1M 5K –
ICF INTL INC COM 279K 2K –
INTEGER HLDGS CORP COM 328K 3K –
INTEL CORP COM 838K 27K –
INTERACTIVE BROKERS GROUP IN COM CL A 413K 3K –
INTERCONTINENTAL EXCHANGE IN COM 1M 9K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 409K 6K –
INVESCO QQQ TR UNIT SER 1 283K 591 –
ISHARES INC CORE MSCI EMKT 2M 43K –
ISHARES TR 0-5 YR TIPS ETF 417K 4K –
ISHARES TR 0-5YR HI YL CP 981K 23K –
ISHARES TR BB RAT CORP BD 462K 10K –
ISHARES TR BROAD USD HIGH 9M 241K –
ISHARES TR CORE MSCI EAFE 4M 53K –
ISHARES TR CORE S&P MCP ETF 326K 6K –
ISHARES TR CORE S&P SCP ETF 317K 3K –
ISHARES TR CORE S&P US GWT 228K 2K –
ISHARES TR CORE S&P US VLU 250K 3K –
ISHARES TR CORE S&P500 ETF 8M 14K –
ISHARES TR CORE TOTAL USD 474K 10K –
ISHARES TR CORE US AGGBD ET 7M 69K –
ISHARES TR EAFE GRWTH ETF 310K 3K –
ISHARES TR EAFE VALUE ETF 442K 8K –
ISHARES TR ESG AWR MSCI USA 797K 7K –
ISHARES TR ESG SCRND S&P500 366K 9K –
ISHARES TR ISHARES SEMICDTR 247K 1K –
ISHARES TR JPMORGAN USD EMG 4M 50K –
ISHARES TR MBS ETF 328K 4K –
ISHARES TR MSCI ACWI ETF 272K 2K –
ISHARES TR MSCI EAFE ETF 9M 113K –
ISHARES TR MSCI USA QLT FCT 450K 3K –
ISHARES TR NATIONAL MUN ETF 792K 7K –
ISHARES TR RUS 1000 GRW ETF 373K 1K –
ISHARES TR RUSEL 2500 ETF 12M 194K –
ISHARES TR RUSSELL 2000 ETF 2M 11K –
ISHARES TR S&P MC 400VL ETF 250K 2K –
ISHARES TR TRS FLT RT BD 690K 14K –
ISHARES TR US TREAS BD ETF 628K 28K –
JACOBS SOLUTIONS INC COM 1M 10K –
KAISER ALUMINUM CORP COM PAR $0.01 242K 3K –
KLA CORP COM NEW 2M 3K –
KORN FERRY COM NEW 243K 4K –
LENNOX INTL INC COM 549K 1K –
LOWES COS INC COM 2M 8K –
LPL FINL HLDGS INC COM 478K 2K –
MARCUS & MILLICHAP INC COM 207K 7K –
MARRIOTT INTL INC NEW CL A 469K 2K –
MASTERCARD INCORPORATED CL A 1M 3K –
MCKESSON CORP COM 2M 3K –
MEDTRONIC PLC SHS 629K 8K –
MERCK & CO INC COM 2M 13K –
MICROSOFT CORP COM 3M 8K –
MOELIS & CO CL A 243K 4K –
MOODYS CORP COM 968K 2K –
NORDSON CORP COM 405K 2K –
NORTHERN OIL & GAS INC COM 217K 6K –
NOVARTIS AG SPONSORED ADR 631K 6K –
NOVO-NORDISK A S ADR 962K 7K –
NVIDIA CORPORATION COM 257K 2K –
NXP SEMICONDUCTORS N V COM 880K 3K –
OLLIES BARGAIN OUTLET HLDGS COM 266K 3K –
PATRICK INDS INC COM 227K 2K –
PHILIP MORRIS INTL INC COM 446K 4K –
POOL CORP COM 384K 1K –
POWERSHARES ACTIVELY MANAGED VAR RATE INVT 926K 37K –
PROSHARES TR S&P 500 DV ARIST 318K 3K –
RELX PLC SPONSORED ADR 956K 21K –
ROLLINS INC COM 407K 8K –
RTX CORPORATION COM 1M 12K –
S&P GLOBAL INC COM 480K 1K –
SAIA INC COM 344K 725 –
SCHWAB STRATEGIC TR US AGGREGATE B 566K 12K –
SCOTTS MIRACLE-GRO CO CL A 227K 3K –
SELECT SECTOR SPDR TR TECHNOLOGY 655K 3K –
SELECTIVE INS GROUP INC COM 260K 3K –
SITEONE LANDSCAPE SUPPLY INC COM 233K 2K –
SM ENERGY CO COM 254K 6K –
SONY GROUP CORP SPONSORED ADR 718K 8K –
SOUTHSTATE CORPORATION COM 205K 3K –
SPDR DOW JONES INDL AVERAGE UT SER 1 235K 600 –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 17M 443K –
SPDR S&P 500 ETF TR TR UNIT 257K 472 –
SPDR SER TR PORTFOLIO S&P500 2M 35K –
STEWART INFORMATION SVCS COR COM 204K 3K –
STRYKER CORPORATION COM 2M 6K –
SUNCOR ENERGY INC NEW COM 711K 19K –
SUNSTONE HOTEL INVS INC NEW COM 140K 13K –
TE CONNECTIVITY LTD SHS 2M 10K –
TELEDYNE TECHNOLOGIES INC COM 280K 722 –
TERADYNE INC COM 519K 4K –
TEXAS INSTRS INC COM 1M 7K –
THOR INDS INC COM 243K 3K –
TOTALENERGIES SE SPONSORED ADS 657K 10K –
UNITEDHEALTH GROUP INC COM 1M 3K –
VANECK ETF TRUST IG FLOATING RATE 899K 35K –
VANGUARD INDEX FDS EXTEND MKT ETF 307K 2K –
VANGUARD INDEX FDS REAL ESTATE ETF 277K 3K –
VANGUARD INDEX FDS TOTAL STK MKT 238K 891 –
VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 247K 1K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 549K 3K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 452K 4K –
VANGUARD WORLD FD CONSUM STP ETF 279K 1K –
VANGUARD WORLD FD UTILITIES ETF 251K 2K –
VIAVI SOLUTIONS INC COM 92K 13K –
VISA INC COM CL A 2M 6K –
WATSCO INC COM 442K 953 –
WELLS FARGO CO NEW COM 762K 13K –
XPEL INC COM 3M 82K –
ZEBRA TECHNOLOGIES CORPORATI CL A 373K 1K –
ZOETIS INC CL A 934K 5K –
ZURN ELKAY WATER SOLNS CORP COM 341K 12K –