HERITAGE WEALTH ARCHITECTS, INC.
Adviser information for HERITAGE WEALTH ARCHITECTS, INC. last updated from Form ADV on February 7th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 582 | $190.0M |
| Non-Discretionary | 99 | $68.8M |
| Total | 681 | $258.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 83 | $24.7M |
| HNW Individuals | 93 | $207.9M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $1.5M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $24.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112783 |
|---|---|
| SEC ERA File Number | 801-112783 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161261 |
| Legal Entity Identifier | None |
Principal Office
1270 NORTHLAND DRIVESUITE 120
MENDOTA HEIGHTS
MN
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 651-289-6444, Fax: 888-365-8373
Websites
Chief Compliance Officer
JAMES S. KNAPP
PRESIDENT/CEO
1270 NORTHLAND DRIVE
SUITE 120
MENDOTA HEIGHTS
MN
United States
Tel:
651-289-6444
Fax:
888-365-8373
J**@***************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KNAPP, JAMES, SHANNON | Individual | – | PRESIDENT/CEO/SECRETARY/TREASURER/SHAREHOLDER/CHIEF COMPLIANCE OFFICER | 01/2012 | > 75% |
| RUDEK, TYLER, LEE | Individual | – | PARTNER/CHIEF INVESTMENT OFFICER | 03/2019 | 5-10% |