HERITAGE FINANCIAL SOLUTIONS, LLC
DIVERSIFIED PORTFOLIO MANAGEMENT, LLC Legal Name
Adviser information for HERITAGE FINANCIAL SOLUTIONS, LLC last updated from Form ADV on September 27th, 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 | Kansas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| 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 | 393 | $84.2M |
| Non-Discretionary | 0 | $0 |
| Total | 393 | $84.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 143 | $33.6M |
| HNW Individuals | 17 | $43.5M |
| 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 | 9 | $4.8M |
| 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 | $2.2M |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121552 |
|---|---|
| SEC ERA File Number | 801-121552 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131008 |
| Legal Entity Identifier | None |
Principal Office
707 3RD AVENUESUITE B
DODGE CITY
KS
United States
M - TH 8AM - 5PM; F 8:00AM - 3PM, M - TH 8:30 AM - 5:00 PM; F 8:30 AM - 3:00 PM
Tel: 620-471-2020, Fax: 620-471-2017
Websites
Chief Compliance Officer
AMBER WALLIS
CHIEF COMPLIANCE OFFICER
707 3RD AVENUE
SUITE B
DODGE CITY
KS
United States
Tel:
620-471-2020
Fax:
620-471-2017
A***********@******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 |
|---|---|---|---|---|---|
| WILLIAM HAYDEN WEALTH MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 01/2013 | > 75% |
| WALLIS, AMBER, LEE | Individual | WILLIAM HAYDEN WEALTH MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | 01/2020 | > 75% |
| WALLIS, AMBER, LEE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |