CEDAR VALLEY WEALTH ADVISORS
THE HEATON HOPPES GROUP, LLC Legal Name
Adviser information for CEDAR VALLEY WEALTH ADVISORS last updated from Form ADV on March 19th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Iowa, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 298 | $150.1M |
| Non-Discretionary | 0 | $0 |
| Total | 298 | $150.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 67 | $48.2M |
| HNW Individuals | 27 | $81.6M |
| 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 | 6 | $19.4M |
| Charitable organizations | 0 | $0 |
| 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 | $957,519 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesINITIAL ADMINISTRATIVE FEE; CONTRIBUTION AND DISTRIBUTION FEE |
Identifiers
| SEC RIA File Number | 801-113740 |
|---|---|
| SEC ERA File Number | 801-113740 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115511 |
| Legal Entity Identifier | None |
Principal Office
411 VIKING ROADSUITE A
CEDAR FALLS
IA
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 319-266-6507, Fax: 319-266-6601
Chief Compliance Officer
KARLA R. HOPPES
CHIEF COMPLIANCE OFFICER, MANAGING MEMBER & INVESTMENT ADVISOR REPRESENTATIVE
411 VIKING ROAD
SUITE A
CEDAR FALLS
IA
United States
Tel:
(319) 266-6507
Fax:
(319) 266-6601
K****@********************M
(Full email address available in API data)
Regulatory Contact
ROBERT M. HEATON
MEMBER
411 VIKING ROAD
SUITE A
CEDAR FALLS
IA
United States
Tel:
(319) 266-6507
Fax:
(319) 266-6601
B**@********************M
(Full email address available in API data)
Industry Affiliates
| CEDAR VALLEY TAX & ACCOUNTING, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HEATON, ROBERT, MICHEAL | Individual | – | MEMBER | 01/2023 | 50-75% |
| HOPPES, KARLA, RENEE | Individual | – | CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | 01/2023 | 50-75% |