HERITAGE ASSET MANAGEMENT, LLC
Adviser information for HERITAGE ASSET MANAGEMENT, 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 | Missouri, 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 | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,094 | $105.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1,094 | $105.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 628 | $80.6M |
| HNW Individuals | 14 | $23.7M |
| 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 | 3 | $1.5M |
| 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 | 3 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-126700 |
|---|---|
| SEC ERA File Number | 801-126700 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323344 |
| Legal Entity Identifier | None |
Principal Office
7926 E 171ST STREETBELTON
MO
United States
Monday - Friday, 9 AM - 5 PM
Tel: 816-348-2060, Fax: 816-348-2070
Websites
Chief Compliance Officer
DAVID THOMPSON
MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE
7926 E 171ST STREET
BELTON
MO
United States
Tel:
816-348-2060
Fax:
816-348-2070
D****@*****************M
(Full email address available in API data)
Industry Affiliates
| HERITAGE FINANCIAL SERVICES LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THOMPSON, DAVID, WAYNE | Individual | – | MANAGING MEMBER/CCO | 09/2022 | > 75% |