HERITAGE ASSET ADVISORS LTD., LLP
Adviser information for HERITAGE ASSET ADVISORS LTD., LLP last updated from Form ADV on March 28th, 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 | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 728 | $239.9M |
| Non-Discretionary | 14 | $5.8M |
| Total | 742 | $245.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 309 | $86.4M |
| HNW Individuals | 72 | $158.6M |
| 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 | 0 | $0 |
| 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 | $636,813 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| 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) |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 413,167 |
| Portfolio Manager | 0 |
| Both for Same | 239.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| HERITAGE ASSET ADVISORS LTD., LLP WRAP FEE PROGRAM | HERITAGE ASSET ADVISORS LTD., LLP |
Identifiers
| SEC RIA File Number | 801-67956 |
|---|---|
| SEC ERA File Number | 801-67956 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144125 |
| Legal Entity Identifier | None |
Principal Office
723 CHERRYBARK LANEHOUSTON
TX
United States
Monday - Friday, 8:00AM TO 4:30PM
Tel: 281.966.3370, Fax: 713.827.7750
Websites
Chief Compliance Officer
ANNE SHINN
VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
723 CHERRYBARK LANE
HOUSTON
TX
United States
Tel:
281.966.3370
Fax:
713.827.7750
A*********@************************M
(Full email address available in API data)
Regulatory Contact
LAURA SMITH
INVESTMENT ADVISOR REP / ASSISTANT TO CCO
723 CHERRYBARK LANE
HOUSTON
TX
United States
Tel:
2819663370
Fax:
713.827.7750
L**********@************************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 |
|---|---|---|---|---|---|
| SHINN, PATRICK, F | Individual | – | PRESIDENT AND PARTNER | 07/2007 | 25-50% |
| SHINN, ANNE, ELIZABETH | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 09/2007 | 25-50% |
| TENNENT, KATIE, ELIZABETH | Individual | – | PARTNER | 05/2007 | 5-10% |
| SMITH, LAURA, ANNE | Individual | – | PARTNER | 05/2007 | 5-10% |
| HERITAGE ADVISORS, INC. | Domestic Entity | – | GENERAL PARTNER | 04/2007 | < 5% |
| SHINN, ANNE, ELIZABETH | Individual | HERITAGE ADVISORS, INC. | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 09/2007 | 50-75% |
| SHINN, PATRICK, F | Individual | HERITAGE ADVISORS, INC. | PRESIDENT AND PARTNER | 07/2007 | 50-75% |