HEACOCK & JONES FINANCIAL SERVICES, INC.
Adviser information for HEACOCK & JONES FINANCIAL SERVICES, INC. last updated from Form ADV on March 31st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Iowa, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 665 | $384.6M |
| Non-Discretionary | 4 | $855,618 |
| Total | 669 | $385.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 513 | $112.7M |
| HNW Individuals | 143 | $260.3M |
| 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 | $3.5M |
| Charitable organizations | <5 | $4.3M |
| 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 | 6 | $4.7M |
| 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 | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-58064 |
|---|---|
| SEC ERA File Number | 801-58064 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115762 |
| Legal Entity Identifier | None |
Principal Office
1545 ASSOCIATES DRIVE, SUITE 102DUBUQUE
IA
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 563-585-1400, Fax: 563-585-1403
Chief Compliance Officer
PAUL HEACOCK
1545 ASSOCIATES DRIVE, SUITE 102
DUBUQUE
IA
United States
Tel:
563-585-1400
Fax:
563-585-1403
S********@***************M
(Full email address available in API data)
Regulatory Contact
SHARON KLUESNER
OPERATIONS MANAGER
1545 ASSOCIATES DRIVE, SUITE 102
DUBUQUE
IA
United States
Tel:
563-585-1400
Fax:
563-585-1403
S********@***************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 |
|---|---|---|---|---|---|
| HEACOCK, PAUL, JOHN | Individual | – | PRESIDENT, TREASURER, DIRECTOR, CHIEF COMPLIANCE OFFICER | 06/2000 | > 75% |
| KLUESNER, SHARON, KATHLEEN | Individual | – | VICE PRESIDENT, SECRETARY, DIRECTOR | 06/2000 | < 5% |
| HEACOCK, RITA, JEAN | Individual | – | DIRECTOR | 06/2000 | < 5% |