DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ALBERT HEEG INVESTMENT MANAGEMENT

HEEG ALBERT JOSEPH JR., CRD 110837

ALAMEDA, CA

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:4b9636cd-6f46-7e7c-2282-857ed89eefb4

Data as of Apr 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Apr 28, 2014
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $532MItem 5.F on the latest filing (2014-04-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $97.6M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Accounts: 10
SEC number: 801-44891
CRD: 110837
Filings on the tape: 4
First filed: Mar 29, 2012
Latest filed: Apr 28, 2014
Organised: Sole Proprietorship, California

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
HEEG, ALBERT, JOSEPH	Principal	E	yes	11/1993	Mar 29, 2012	Apr 28, 2014
ALM, KEITH, RONALD	CHIEF COMPLIANCE OFFICER AND VP OPERATIONS	Na	no	06/2009	Mar 29, 2012	Apr 28, 2014
DEELEY, PAUL, JOSEPH	SENIOR VICE PRESIDENT	Na	no	10/2008	Mar 29, 2012	Apr 28, 2014

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

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
2013	Mar 27, 2014	$532M	$97.6M	2	2	n/a	n/a	n/a
2012	Mar 19, 2013	$246M	$246M	2	2	n/a	n/a	n/a
2011	Mar 29, 2012	$246M	$246M	n/a	n/a	n/a	n/a	n/a

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
2013	$532M	$246M	115.7%	n/a	n/a	2	2	n/a	n/a

Relationships

Controls (1)

← HEEG, ALBERT, JOSEPHOwnerPRINCIPAL, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Owns (2)

← DEELEY, PAUL, JOSEPHOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← ALM, KEITH, RONALDOwnerCHIEF COMPLIANCE OFFICER AND VP OPERATIONS, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (1)

← PAUL JOSEPH DEELEYAdvisorregistration: previous registration
Aug 2, 2011 to Mar 30, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b9636cd-6f46-7e7c-2282-857ed89eefb4
First observed: Mar 29, 2012
Last observed: Apr 28, 2014 150 months 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.

ALBERT HEEG INVESTMENT MANAGEMENT

HEEG ALBERT JOSEPH JR., CRD 110837

ALAMEDA, CA

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:4b9636cd-6f46-7e7c-2282-857ed89eefb4

Data as of Apr 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HEEG, ALBERT, JOSEPH

Principal

yes

11/1993

Mar 29, 2012

Apr 28, 2014

ALM, KEITH, RONALD

CHIEF COMPLIANCE OFFICER AND VP OPERATIONS

06/2009

Mar 29, 2012

Apr 28, 2014

DEELEY, PAUL, JOSEPH

SENIOR VICE PRESIDENT

10/2008

Mar 29, 2012

Apr 28, 2014

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 27, 2014

$532M

$97.6M

n/a

2012

Mar 19, 2013

$246M

n/a

2011

Mar 29, 2012

$246M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$532M

$246M

115.7%

n/a