Hedge Fund Database

HERON WEALTH

HERON FINANCIAL GROUP, LLC Legal Name

Adviser information for HERON WEALTH last updated from Form ADV on July 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location New York, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 2
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 697 $287.0M
Non-Discretionary 730 $146.0M
Total 1,427 $433.0M

Clients

Type Number RAUM
Individuals 132 $44.5M
HNW Individuals 122 $388.5M
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 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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 7
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-68679
SEC ERA File Number 801-68679
SEC CIK Numbers 1803648
SEC CRD Numbers 146012
Legal Entity Identifier None

Principal Office

521 5TH AVENUE
15TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM; OTHER HOURS BY APPOINTMENT
Tel: 800-994-3766, Fax: 347-580-5289

Websites

twitter.com/wealthspire www.linkedin.com/company/heron-wealth/ www.facebook.com/wealthspire www.wealthspire.com www.instagram.com/wealthspireadvisors/ vimeo.com/wealthspireadvisors www.youtube.com/channel/uc6l9dfqc3ae8kfbc1utxs4q

Chief Compliance Officer

MICHAEL DEL PRIORE
521 5TH AVENUE
15TH FLOOR
NEW YORK
NY
United States
Tel: 4145091330
Fax: 3475805289
(Full email address available in API data)

Regulatory Contact

DAVID EDWARDS
MANAGING DIRECTOR
521 5TH AVENUE
15TH FLOOR
NEW YORK
NY
United States
Tel: 800-994-3766
Fax: 192780050
(Full email address available in API data)

Industry Affiliates

NFP RETIREMENT INC. Other investment adviser, including financial planners
WEALTHSPIRE ADVISORS Other investment adviser, including financial planners
WEALTHSPIRE ADVISORS Other investment adviser, including financial planners
WEALTHSPIRE ADVISORS Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
EDWARDS, DAVID, SAY Individual – MANAGING DIRECTOR 04/2023 < 5%
FRIEDMAN, GREGORY, HUGH Individual – CHIEF STRATEGY OFFICER 04/2023 < 5%
SCHNEIDER, BRETT, RONALD Individual – DIRECTOR 04/2023 < 5%
LIESER, LORI, MICHELL Individual – VICE PRESIDENT 04/2023 < 5%
SONTAG, ERIC, MATTHEW Individual – PRESIDENT & CHIEF OPERATIONS OFFICER 04/2023 < 5%
O'MALLEY, EDWARD, GEORGE Individual – DIRECTOR 04/2023 < 5%
MOO, VERONICA, EI CHUN Individual – DIRECTOR 04/2023 < 5%
STASTNEY, HOYT, RONALD Individual – CHIEF LEGAL OFFICER 04/2023 < 5%
LAMENA, MICHAEL, ANTHONY Individual – CHIEF EXECUTIVE OFFICER 04/2023 < 5%
DEL PRIORE, MICHAEL, J Individual – CHIEF COMPLIANCE OFFICER 04/2023 < 5%
POWERS, BRIAN, DAVID Individual – CHIEF FINANCIAL OFFICER 04/2023 < 5%
MORIARTY, MICHAEL, JOSEPH Individual – CHIEF INVESTMENT OFFICER 04/2023 < 5%
WEALTHSPIRE ADVISORS Domestic Entity – OWNER 04/2023 > 75%
WEALTHSPIRE HOLDINGS, LLC Domestic Entity WEALTHSPIRE ADVISORS MEMBER 11/2017 > 75%
NFP CORP. Domestic Entity WEALTHSPIRE HOLDINGS, LLC OWNER 11/2017 > 75%
NFP INTERMEDIATE HOLDINGS B. CORP. Domestic Entity NFP CORP. OWNER 07/2013 > 75%
NFP INTERMEDIATE HOLDINGS A. CORP. Domestic Entity NFP INTERMEDIATE HOLDINGS B. CORP. OWNER 07/2013 > 75%
NFP PARENT CO, LLC Domestic Entity NFP INTERMEDIATE HOLDINGS A. CORP. OWNER 10/2014 > 75%
NFP HOLDINGS, LLC Domestic Entity NFP PARENT CO, LLC OWNER 07/2013 > 75%
NFP ULTIMATE HOLDINGS, LLC Domestic Entity NFP HOLDINGS, LLC OWNER 02/2017 > 75%
PATRIOT SPV, L.P. Domestic Entity NFP ULTIMATE HOLDINGS, LLC OWNER 03/2021 > 75%
PATRIOT SPV GP, L.P. Domestic Entity PATRIOT SPV, L.P. GENERAL PARTNER 03/2021
MADISON DEARBORN PARTNERS Domestic Entity PATRIOT SPV GP, L.P. GENERAL PARTNER 03/2021

No. Employees, Historic

10502019202020212022202320247 on 4/24/20197 on 4/30/20197 on 5/29/20197 on 10/17/20197 on 10/17/20194 on 3/30/20204 on 7/5/20204 on 7/7/20204 on 7/20/20204 on 8/25/20205 on 4/10/20217 on 2/16/20225 on 3/29/20235 on 4/26/20235 on 7/31/2023

RAUM, Historic

500M250M0201920202021202220232024314181000 on 4/24/2019314181000 on 4/30/2019314181000 on 5/29/2019314181000 on 10/17/2019314181000 on 10/17/2019342355956 on 3/30/2020342355956 on 7/5/2020342355956 on 7/7/2020342355956 on 7/20/2020342355956 on 8/25/2020352362703 on 4/10/2021454731396 on 2/16/2022433024459 on 3/29/2023433024459 on 4/26/2023433024459 on 7/31/2023

No. Clients, Historic

3001500201920202021202220232024172 on 4/24/2019172 on 4/30/2019172 on 5/29/2019172 on 10/17/2019172 on 10/17/2019162 on 3/30/2020162 on 7/5/2020162 on 7/7/2020162 on 7/20/2020162 on 8/25/2020192 on 4/10/2021213 on 2/16/2022254 on 3/29/2023254 on 4/26/2023254 on 7/31/2023

Holdings

From latest 13F, filed August 10th, 2023 for period ending June 30th, 2023
Name Class Value $USD # Shares Private Fund
VANGUARD INDEX FDS GROWTH ETF 10M 36K –
VANGUARD INDEX FDS S&P 500 ETF SHS 10M 24K –
ISHARES TR MSCI EAFE MIN VL 9M 127K –
ISHARES TR RUS MID CAP ETF 8M 114K –
ISHARES TR RUS MD CP GR ETF 8M 85K –
ISHARES TR S&P MC 400VL ETF 8M 74K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 7M 67K –
ISHARES TR RUS 2000 GRW ETF 7M 29K –
VANGUARD INDEX FDS SMALL CP ETF 7M 34K –
ISHARES TR RUS 2000 VAL ETF 6M 45K –
APPLE INC COM 5M 26K –
ISHARES TR RUSSELL 3000 ETF 4M 16K –
MICROSOFT CORP COM 3M 9K –
J P MORGAN EXCHANGE TRADED F DIV RTN EM EQT 3M 52K –
THERMO FISHER SCIENTIFIC INC COM 3M 5K –
INVESCO EXCH TRADED FD TR II PFD ETF 2M 195K –
MORGAN STANLEY COM NEW 2M 25K –
PACER FDS TR US CASH COWS 100 2M 43K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 6K –
LYONDELLBASELL INDUSTRIES N SHS - A - 2M 22K –
ILLINOIS TOOL WKS INC COM 2M 8K –
T-MOBILE US INC COM 2M 14K –
AON PLC SHS CL A 2M 6K –
EXXON MOBIL CORP COM 2M 17K –
JPMORGAN CHASE & CO COM 2M 12K –
JOHNSON & JOHNSON COM 2M 10K –
TELEFLEX INCORPORATED COM 2M 6K –
COSTCO WHSL CORP NEW COM 2M 3K –
NEXTERA ENERGY INC COM 2M 20K –
AMAZON COM INC COM 1M 11K –
FAIR ISAAC CORP COM 1M 2K –
MASTERCARD INCORPORATED CL A 1M 3K –
UNITEDHEALTH GROUP INC COM 1M 3K –
DTE ENERGY CO COM 1M 11K –
ISHARES TR PFD AND INCM SEC 1M 38K –
VALERO ENERGY CORP COM 1M 10K –
PROCTER AND GAMBLE CO COM 1M 8K –
ADOBE SYSTEMS INCORPORATED COM 1M 2K –
CISCO SYS INC COM 1M 21K –
DUKE ENERGY CORP NEW COM NEW 1M 12K –
VERIZON COMMUNICATIONS INC COM 1M 27K –
VANGUARD BD INDEX FDS INTERMED TERM 982K 13K –
INVESCO EXCH TRADED FD TR II DWA EMERG MKTS 980K 52K –
ANALOG DEVICES INC COM 963K 5K –
EDWARDS LIFESCIENCES CORP COM 923K 10K –
MERCK & CO INC COM 905K 8K –
SMUCKER J M CO COM NEW 844K 6K –
HOME DEPOT INC COM 840K 3K –
COMMERCIAL METALS CO COM 824K 16K –
LILLY ELI & CO COM 823K 2K –
POOL CORP COM 808K 2K –
NVIDIA CORPORATION COM 795K 2K –
WILLIAMS COS INC COM 779K 24K –
AUTOZONE INC COM 773K 310 –
ISHARES TR 3 7 YR TREAS BD 769K 7K –
TEXAS INSTRS INC COM 766K 4K –
SEALED AIR CORP NEW COM 764K 19K –
FEDEX CORP COM 753K 3K –
TEXAS PACIFIC LAND CORPORATI COM 736K 559 –
SONOCO PRODS CO COM 714K 12K –
AMGEN INC COM 712K 3K –
MARATHON PETE CORP COM 696K 6K –
ALPHABET INC CAP STK CL A 693K 6K –
PROGRESSIVE CORP COM 674K 5K –
GENUINE PARTS CO COM 656K 4K –
INTUIT COM 656K 1K –
PHILLIPS 66 COM 651K 7K –
EMERSON ELEC CO COM 637K 7K –
RPM INTL INC COM 592K 7K –
ARCHER DANIELS MIDLAND CO COM 582K 8K –
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 579K 13K –
NETFLIX INC COM 578K 1K –
QUALCOMM INC COM 560K 5K –
ISHARES TR CORE S&P500 ETF 554K 1K –
ISHARES TR CORE S&P US GWT 552K 6K –
ECOLAB INC COM 552K 3K –
CATERPILLAR INC COM 545K 2K –
QUEST DIAGNOSTICS INC COM 536K 4K –
CACI INTL INC CL A 526K 2K –
FASTENAL CO COM 520K 9K –
PFIZER INC COM 518K 14K –
APPLIED MATLS INC COM 517K 4K –
ORACLE CORP COM 511K 4K –
BIOGEN INC COM 497K 2K –
YUM BRANDS INC COM 494K 4K –
ALPHABET INC CAP STK CL C 455K 4K –
CAL MAINE FOODS INC COM NEW 431K 10K –
LOWES COS INC COM 426K 2K –
DIMENSIONAL ETF TRUST US EQUITY ETF 424K 9K –
SPDR S&P 500 ETF TR TR UNIT 419K 945 –
MATERION CORP COM 416K 4K –
ADVANCED MICRO DEVICES INC COM 406K 4K –
ISHARES TR CORE HIGH DV ETF 397K 4K –
INTEL CORP COM 392K 12K –
AT&T INC COM 392K 25K –
CVS HEALTH CORP COM 391K 6K –
ISHARES INC CORE MSCI EMKT 389K 8K –
MCDONALDS CORP COM 387K 1K –
BRISTOL-MYERS SQUIBB CO COM 385K 6K –
EATON CORP PLC SHS 374K 2K –
PENSKE AUTOMOTIVE GRP INC COM 371K 2K –
CARDINAL HEALTH INC COM 357K 4K –
PEPSICO INC COM 344K 2K –
BROADCOM INC COM 341K 393 –
ISHARES TR CORE S&P SCP ETF 335K 3K –
FISERV INC COM 323K 3K –
MONDELEZ INTL INC CL A 311K 4K –
ABBOTT LABS COM 311K 3K –
COCA COLA CO COM 308K 5K –
INTERNATIONAL BUSINESS MACHS COM 305K 2K –
ENTERGY CORP NEW COM 301K 3K –
CHEVRON CORP NEW COM 296K 2K –
CUMMINS INC COM 290K 1K –
PROSHARES TR ULTRAPRO QQQ 287K 7K –
MARSH & MCLENNAN COS INC COM 278K 1K –
TRUIST FINL CORP COM 277K 9K –
CORTEVA INC COM 274K 5K –
BECTON DICKINSON & CO COM 271K 1K –
AUTODESK INC COM 263K 1K –
CLEARWAY ENERGY INC CL C 263K 9K –
CHUBB LIMITED COM 256K 1K –
UNILEVER PLC SPON ADR NEW 250K 5K –
PLEXUS CORP COM 250K 3K –
BOEING CO COM 246K 1K –
PAYPAL HLDGS INC COM 243K 4K –
GENERAL ELECTRIC CO COM NEW 237K 2K –
STRYKER CORPORATION COM 236K 775 –
ACCENTURE PLC IRELAND SHS CLASS A 234K 759 –
INVESCO QQQ TR UNIT SER 1 231K 625 –
TRAVELERS COMPANIES INC COM 226K 1K –
PINNACLE WEST CAP CORP COM 223K 3K –
HONEYWELL INTL INC COM 218K 1K –
DIAGEO PLC SPON ADR NEW 216K 1K –
AUTOMATIC DATA PROCESSING IN COM 215K 980 –
J P MORGAN EXCHANGE TRADED F DIV RTN INT EQ 212K 4K –
BAXTER INTL INC COM 207K 5K –
3M CO COM 205K 2K –
WELLS FARGO CO NEW COM 204K 5K –
ISHARES TR MSCI INTL QUALTY 204K 6K –
AGREE RLTY CORP COM 203K 3K –
DEUTSCHE BANK A G NAMEN AKT 197K 19K –
DNP SELECT INCOME FD INC COM 169K 16K –