HERITAGE FINANCIAL LLC
Adviser information for HERITAGE FINANCIAL LLC last updated from Form ADV on March 25th, 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 | Virginia, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,191 | $256.8M |
| Non-Discretionary | 95 | $23.8M |
| Total | 1,286 | $280.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 264 | $90.3M |
| HNW Individuals | 71 | $170.9M |
| 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 | <5 | $16.9M |
| Charitable organizations | <5 | $2.6M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| 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) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-114336 |
|---|---|
| SEC ERA File Number | 801-114336 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285149 |
| Legal Entity Identifier | None |
Principal Office
7001 HERITAGE VILLAGE PLAZASUITE 190
GAINESVILLE
VA
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: (703) 754-1233, Fax: (703) 754-2122
Chief Compliance Officer
ELIZABETH CLARK
CHIEF OPERATIONS OFFICER
7001 HERITAGE VILLAGE PLAZA
SUITE 190
GAINESVILLE
VA
United States
Tel:
703-754-1233
E*****@*****************M
(Full email address available in API data)
Regulatory Contact
CHRIS STANLEY
FOUNDING PRINCIPAL, BEACH STREET LEGAL
PO BOX 31681
DES PERES
MO
United States
Tel:
(314) 441-6191
T***@*******************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 |
|---|---|---|---|---|---|
| MORTON, DAVID, KALANI | Individual | – | PRINCIPAL, CEO, MEMBER | 10/2016 | 50-75% |
| CLARK, ELIZABETH, LANNON | Individual | – | PRINCIPAL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER, MEMBER | 01/2019 | 25-50% |