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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT, INC., CRD 159158

WOBURN, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39b271b9-b700-7335-87f1-d33c5530b7dc

Data as of Aug 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 15, 2025 to Aug 4, 2026
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $153MItem 5.F on the latest filing (2026-08-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $153M
Private client RAUM: $152MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $76.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 369
Individual clients: 133
High net worth clients: 82
Custody, client assets: $66.0M
SEC number: 801-132674
CRD: 159158
Filings on the tape: 4
First filed: Apr 15, 2025
Latest filed: Aug 4, 2026
Organised: Corporation, MA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
VINCENT SERRATORE	n/a	WOBURN, MA	14	30	2	no
Katherine Salome Horgan	n/a	Osterville, MA \| WOBURN, MA	7	21	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SERRATORE, VINCENT	SENIOR MANAGING DIRECTOR, CCO	E	yes	11/2011	Aug 4, 2026	Aug 4, 2026
Horgan, Katherine, Salome	SENIOR MANAGING PRINCIPAL/CIO	Na	no	01/2025	Aug 4, 2026	Aug 4, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 20, 2026	$153M	$153M	2	2	2	n/a	n/a
2024	Apr 15, 2025	$118M	$117M	2	2	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$153M	$118M	29.5%	n/a	n/a	2	2	2	2

Relationships

Controls (1)

← SERRATORE, VINCENTOwnerSENIOR MANAGING DIRECTOR, CCO, ownership code E, individual
Aug 4, 2026 to presentfactForm ADV

Owns (1)

← Horgan, Katherine, SalomeOwnerSENIOR MANAGING PRINCIPAL/CIO, ownership code NA, individual
Aug 4, 2026 to presentfactForm ADV

Registered with (3)

← Katherine Salome HorganAdvisorregistration: current employment
Jul 21, 2019 to presentfactForm ADV
← VINCENT SERRATOREAdvisorregistration: current employment
Nov 10, 2011 to presentfactForm ADV
← JOHN JOSEPH VERRENGIAAdvisorregistration: previous registration
Nov 2, 2012 to Sep 28, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39b271b9-b700-7335-87f1-d33c5530b7dc
First observed: Apr 15, 2025
Last observed: Aug 4, 2026 46 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT, INC., CRD 159158

WOBURN, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39b271b9-b700-7335-87f1-d33c5530b7dc

Data as of Aug 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

VINCENT SERRATORE

n/a

WOBURN, MA

Katherine Salome Horgan

n/a

Osterville, MA | WOBURN, MA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SERRATORE, VINCENT

SENIOR MANAGING DIRECTOR, CCO

yes

11/2011

Aug 4, 2026

Horgan, Katherine, Salome

SENIOR MANAGING PRINCIPAL/CIO

01/2025

Aug 4, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 20, 2026

$153M

n/a

2024

Apr 15, 2025

$118M

$117M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$153M

$118M

29.5%

n/a