HERITAGE WEALTH ADVISORS
HERITAGE WEALTH MANAGEMENT INC. Legal Name
Adviser information for HERITAGE WEALTH ADVISORS last updated from Form ADV on March 26th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 798 | $448.6M |
| Non-Discretionary | 44 | $47.8M |
| Total | 842 | $496.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 96 | $40.7M |
| HNW Individuals | 110 | $455.5M |
| 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 | <5 | $168,231 |
| 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 | 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 businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesFINANCIAL PLANNING FEE |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-121624 |
|---|---|
| SEC ERA File Number | 801-121624 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312545 |
| Legal Entity Identifier | None |
Principal Office
9110 MONTGOMERY RD.CINCINNATI
OH
United States
Monday - Friday, 9 - 5
Tel: 513-440-5475, Fax: None
Websites
Chief Compliance Officer
TANYA OLVERA
36 WEST PIKE ST.
COVINGTON
KY
United States
Tel:
8596001434
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 |
|---|---|---|---|---|---|
| HOLWADEL, DAVID, KENT | Individual | – | PRESIDENT | 04/2021 | > 75% |
| MEREDITH, LINDSEY, CROCKER | Individual | – | FINANCIAL ADVISOR | 04/2021 | 5-10% |
| THOMPSON, JEFFREY, P | Individual | – | FINANCIAL ADVISOR | 04/2021 | 5-10% |
| OLVERA, TANYA, MICHELLE | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |