HERITAGE FAMILY OFFICES, LLP
Adviser information for HERITAGE FAMILY OFFICES, LLP 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 6 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 763 | $365.1M |
| Non-Discretionary | 0 | $0 |
| Total | 763 | $365.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 225 | $132.9M |
| HNW Individuals | 75 | $217.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $13.0M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $58 |
| 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 | $2.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
| Other Business Activities | Accountant or accounting firmLawyer or law firm |
Principal Office
9841 E BELL RDSUITE 110
SCOTTSDALE
AZ
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (602) 775-5400, Fax: (602) 775-5451
Chief Compliance Officer
DAVID MAXEY
MANAGING MEMBER
2355 E. CAMELBACK ROAD
SUITE 330
PHOENIX
AZ
United States
Tel:
(602) 775-5400
Fax:
(602) 775-5451
D*****@*************M
(Full email address available in API data)
Industry Affiliates
| FROST & ASSOCIATES, LLC | Insurance company or agency |
| HERITAGE INSURANCE ADVISORS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HFO-COSMIC SPV, LLC | Private Equity Fund | $13.0M | $0.0M | 36 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MAXEY, DAVID, ELGIN | Individual | – | GENERAL PARTNER AND CHIEF COMPLIANCE OFFICER | 10/2022 | 10-25% |
| FROST, MICHAEL, BRENT | Individual | – | GENERAL PARTNER | 10/2022 | 25-50% |
| Nelson, Ralph, Erwin | Individual | – | GENERAL PARTNER | 10/2022 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 646K | 6K | – |
| ABBVIE INC | COM | 2M | 9K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 2M | 6K | – |
| ADDUS HOMECARE CORP | COM | 243K | 2K | – |
| ADVANCED ENERGY INDS | COM | 205K | 2K | – |
| ALCON AG | ORD SHS | 754K | 8K | – |
| ALLEGION PLC | ORD SHS | 302K | 3K | – |
| ALPHABET INC | CAP STK CL C | 227K | 1K | – |
| ALTRIA GROUP INC | COM | 324K | 7K | – |
| AMAZON COM INC | COM | 206K | 1K | – |
| ANALOG DEVICES INC | COM | 2M | 9K | – |
| AON PLC | SHS CL A | 728K | 2K | – |
| APPLE INC | COM | 3M | 16K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 1M | 1K | – |
| ASPEN TECHNOLOGY INC | COM | 333K | 2K | – |
| ASTRAZENECA PLC | SPONSORED ADR | 710K | 9K | – |
| BALCHEM CORP | COM | 206K | 1K | – |
| BENCHMARK ELECTRS INC | COM | 256K | 6K | – |
| BENTLEY SYS INC | COM CL B | 499K | 10K | – |
| BERKLEY W R CORP | COM | 429K | 5K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 307K | 755 | – |
| BJS WHSL CLUB HLDGS INC | COM | 309K | 4K | – |
| BLACKBAUD INC | COM | 220K | 3K | – |
| BLACKROCK ETF TRUST II | AAA CLO ETF | 926K | 18K | – |
| BOOT BARN HLDGS INC | COM | 284K | 2K | – |
| BRIGHT HORIZONS FAM SOL IN D | COM | 310K | 3K | – |
| BROADCOM INC | COM | 2M | 1K | – |
| CHARLES RIV LABS INTL INC | COM | 349K | 2K | – |
| CHECK POINT SOFTWARE TECH LT | ORD | 793K | 5K | – |
| CHEMED CORP NEW | COM | 282K | 520 | – |
| CHOICE HOTELS INTL INC | COM | 252K | 2K | – |
| CISCO SYS INC | COM | 688K | 14K | – |
| CNX RES CORP | COM | 226K | 9K | – |
| COMCAST CORP NEW | CL A | 1M | 28K | – |
| CONOCOPHILLIPS | COM | 2M | 14K | – |
| COOPER COS INC | COM | 430K | 5K | – |
| COSTCO WHSL CORP NEW | COM | 202K | 238 | – |
| CSW INDUSTRIALS INC | COM | 253K | 954 | – |
| DEERE & CO | COM | 636K | 2K | – |
| DOLBY LABORATORIES INC | COM CL A | 325K | 4K | – |
| ELI LILLY & CO | COM | 2M | 2K | – |
| EMERSON ELEC CO | COM | 2M | 14K | – |
| ENPRO INC | COM | 269K | 2K | – |
| EOG RES INC | COM | 900K | 7K | – |
| EQUIFAX INC | COM | 399K | 2K | – |
| EXPONENT INC | COM | 288K | 3K | – |
| EXXON MOBIL CORP | COM | 279K | 2K | – |
| FAIR ISAAC CORP | COM | 374K | 251 | – |
| FRANKLIN ELEC INC | COM | 217K | 2K | – |
| GALLAGHER ARTHUR J & CO | COM | 2M | 6K | – |
| GENUINE PARTS CO | COM | 598K | 4K | – |
| GRAY TELEVISION INC | COM | 71K | 14K | – |
| GRAYSCALE BITCOIN TR BTC | SHS REP COM UT | 366K | 7K | – |
| HALEON PLC | SPON ADS | 700K | 85K | – |
| HENRY JACK & ASSOC INC | COM | 362K | 2K | – |
| HERSHEY CO | COM | 562K | 3K | – |
| HOME DEPOT INC | COM | 2M | 5K | – |
| HONEYWELL INTL INC | COM | 1M | 5K | – |
| ICF INTL INC | COM | 279K | 2K | – |
| INTEGER HLDGS CORP | COM | 328K | 3K | – |
| INTEL CORP | COM | 838K | 27K | – |
| INTERACTIVE BROKERS GROUP IN | COM CL A | 413K | 3K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 1M | 9K | – |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 409K | 6K | – |
| INVESCO QQQ TR | UNIT SER 1 | 283K | 591 | – |
| ISHARES INC | CORE MSCI EMKT | 2M | 43K | – |
| ISHARES TR | 0-5 YR TIPS ETF | 417K | 4K | – |
| ISHARES TR | 0-5YR HI YL CP | 981K | 23K | – |
| ISHARES TR | BB RAT CORP BD | 462K | 10K | – |
| ISHARES TR | BROAD USD HIGH | 9M | 241K | – |
| ISHARES TR | CORE MSCI EAFE | 4M | 53K | – |
| ISHARES TR | CORE S&P MCP ETF | 326K | 6K | – |
| ISHARES TR | CORE S&P SCP ETF | 317K | 3K | – |
| ISHARES TR | CORE S&P US GWT | 228K | 2K | – |
| ISHARES TR | CORE S&P US VLU | 250K | 3K | – |
| ISHARES TR | CORE S&P500 ETF | 8M | 14K | – |
| ISHARES TR | CORE TOTAL USD | 474K | 10K | – |
| ISHARES TR | CORE US AGGBD ET | 7M | 69K | – |
| ISHARES TR | EAFE GRWTH ETF | 310K | 3K | – |
| ISHARES TR | EAFE VALUE ETF | 442K | 8K | – |
| ISHARES TR | ESG AWR MSCI USA | 797K | 7K | – |
| ISHARES TR | ESG SCRND S&P500 | 366K | 9K | – |
| ISHARES TR | ISHARES SEMICDTR | 247K | 1K | – |
| ISHARES TR | JPMORGAN USD EMG | 4M | 50K | – |
| ISHARES TR | MBS ETF | 328K | 4K | – |
| ISHARES TR | MSCI ACWI ETF | 272K | 2K | – |
| ISHARES TR | MSCI EAFE ETF | 9M | 113K | – |
| ISHARES TR | MSCI USA QLT FCT | 450K | 3K | – |
| ISHARES TR | NATIONAL MUN ETF | 792K | 7K | – |
| ISHARES TR | RUS 1000 GRW ETF | 373K | 1K | – |
| ISHARES TR | RUSEL 2500 ETF | 12M | 194K | – |
| ISHARES TR | RUSSELL 2000 ETF | 2M | 11K | – |
| ISHARES TR | S&P MC 400VL ETF | 250K | 2K | – |
| ISHARES TR | TRS FLT RT BD | 690K | 14K | – |
| ISHARES TR | US TREAS BD ETF | 628K | 28K | – |
| JACOBS SOLUTIONS INC | COM | 1M | 10K | – |
| KAISER ALUMINUM CORP | COM PAR $0.01 | 242K | 3K | – |
| KLA CORP | COM NEW | 2M | 3K | – |
| KORN FERRY | COM NEW | 243K | 4K | – |
| LENNOX INTL INC | COM | 549K | 1K | – |
| LOWES COS INC | COM | 2M | 8K | – |
| LPL FINL HLDGS INC | COM | 478K | 2K | – |
| MARCUS & MILLICHAP INC | COM | 207K | 7K | – |
| MARRIOTT INTL INC NEW | CL A | 469K | 2K | – |
| MASTERCARD INCORPORATED | CL A | 1M | 3K | – |
| MCKESSON CORP | COM | 2M | 3K | – |
| MEDTRONIC PLC | SHS | 629K | 8K | – |
| MERCK & CO INC | COM | 2M | 13K | – |
| MICROSOFT CORP | COM | 3M | 8K | – |
| MOELIS & CO | CL A | 243K | 4K | – |
| MOODYS CORP | COM | 968K | 2K | – |
| NORDSON CORP | COM | 405K | 2K | – |
| NORTHERN OIL & GAS INC | COM | 217K | 6K | – |
| NOVARTIS AG | SPONSORED ADR | 631K | 6K | – |
| NOVO-NORDISK A S | ADR | 962K | 7K | – |
| NVIDIA CORPORATION | COM | 257K | 2K | – |
| NXP SEMICONDUCTORS N V | COM | 880K | 3K | – |
| OLLIES BARGAIN OUTLET HLDGS | COM | 266K | 3K | – |
| PATRICK INDS INC | COM | 227K | 2K | – |
| PHILIP MORRIS INTL INC | COM | 446K | 4K | – |
| POOL CORP | COM | 384K | 1K | – |
| POWERSHARES ACTIVELY MANAGED | VAR RATE INVT | 926K | 37K | – |
| PROSHARES TR | S&P 500 DV ARIST | 318K | 3K | – |
| RELX PLC | SPONSORED ADR | 956K | 21K | – |
| ROLLINS INC | COM | 407K | 8K | – |
| RTX CORPORATION | COM | 1M | 12K | – |
| S&P GLOBAL INC | COM | 480K | 1K | – |
| SAIA INC | COM | 344K | 725 | – |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 566K | 12K | – |
| SCOTTS MIRACLE-GRO CO | CL A | 227K | 3K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 655K | 3K | – |
| SELECTIVE INS GROUP INC | COM | 260K | 3K | – |
| SITEONE LANDSCAPE SUPPLY INC | COM | 233K | 2K | – |
| SM ENERGY CO | COM | 254K | 6K | – |
| SONY GROUP CORP | SPONSORED ADR | 718K | 8K | – |
| SOUTHSTATE CORPORATION | COM | 205K | 3K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 235K | 600 | – |
| SPDR INDEX SHS FDS | PORTFOLIO EMG MK | 17M | 443K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 257K | 472 | – |
| SPDR SER TR | PORTFOLIO S&P500 | 2M | 35K | – |
| STEWART INFORMATION SVCS COR | COM | 204K | 3K | – |
| STRYKER CORPORATION | COM | 2M | 6K | – |
| SUNCOR ENERGY INC NEW | COM | 711K | 19K | – |
| SUNSTONE HOTEL INVS INC NEW | COM | 140K | 13K | – |
| TE CONNECTIVITY LTD | SHS | 2M | 10K | – |
| TELEDYNE TECHNOLOGIES INC | COM | 280K | 722 | – |
| TERADYNE INC | COM | 519K | 4K | – |
| TEXAS INSTRS INC | COM | 1M | 7K | – |
| THOR INDS INC | COM | 243K | 3K | – |
| TOTALENERGIES SE | SPONSORED ADS | 657K | 10K | – |
| UNITEDHEALTH GROUP INC | COM | 1M | 3K | – |
| VANECK ETF TRUST | IG FLOATING RATE | 899K | 35K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 307K | 2K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 277K | 3K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 238K | 891 | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000IDX | 247K | 1K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 549K | 3K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 452K | 4K | – |
| VANGUARD WORLD FD | CONSUM STP ETF | 279K | 1K | – |
| VANGUARD WORLD FD | UTILITIES ETF | 251K | 2K | – |
| VIAVI SOLUTIONS INC | COM | 92K | 13K | – |
| VISA INC | COM CL A | 2M | 6K | – |
| WATSCO INC | COM | 442K | 953 | – |
| WELLS FARGO CO NEW | COM | 762K | 13K | – |
| XPEL INC | COM | 3M | 82K | – |
| ZEBRA TECHNOLOGIES CORPORATI | CL A | 373K | 1K | – |
| ZOETIS INC | CL A | 934K | 5K | – |
| ZURN ELKAY WATER SOLNS CORP | COM | 341K | 12K | – |