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

HERITAGE WEALTH MANAGEMENT, LLC

CRD 158107

PHOENIX, AZ

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:4d443c3e-978d-0022-a225-47fa8ce1e987

Data as of Feb 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Aug 25, 2015 to Feb 14, 2017
8 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: $159MItem 5.F on the latest filing (2017-02-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $159M
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: 8
Advisory employees: 6
Accounts: 861
SEC number: 801-106598
CRD: 158107
Filings on the tape: 8
First filed: Aug 25, 2015
Latest filed: Feb 14, 2017
Organised: Limited Liability Company, Arizona

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
FROST, MICHAEL, BRENT	President	C	yes	05/2011	Aug 25, 2015	Feb 14, 2017
HEALEY, KEEGAN, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	09/2015	Sep 30, 2015	Feb 14, 2017
NELSON, RALPH, ERWIN	CHIEF EXECUTIVE OFFICER	C	yes	12/2016	Feb 14, 2017	Feb 14, 2017
MAXEY, DAVID, ELGIN	Director	Na	no	12/2016	Feb 14, 2017	Feb 14, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FROST AND ASSOCIATES, LLC	n/a	n/a	n/a	N	yes	n/a
HERITAGE CERTIFIED PUBLIC ACCOUNTANTS, PLLC	n/a	n/a	n/a	N	yes	n/a
HERITAGE INSURANCE ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
NELSON HEALEY, PC	n/a	n/a	n/a	N	yes	n/a

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
2016	Feb 14, 2017	$159M	$159M	8	6	n/a	n/a	n/a
2015	Jan 22, 2016	$111M	$110M	5	4	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
2016	$159M	$111M	43.5%	n/a	n/a	8	5	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
HERITAGE WEALTH MANAGEMENT, LLC	7	Aug 18, 2017	Jul 24, 2017	PHOENIX, AZ	Firm absorbed	Other	100.0%

Relationships

Owns (1)

← MAXEY, DAVID, ELGINOwnerDIRECTOR, ownership code NA, individual
Feb 14, 2017 to presentfactForm ADV

Controls (3)

← FROST, MICHAEL, BRENTOwnerPRESIDENT, ownership code C, individual
Aug 25, 2015 to presentfactForm ADV
← HEALEY, KEEGAN, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 30, 2015 to presentfactForm ADV
← NELSON, RALPH, ERWINOwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Feb 14, 2017 to presentfactForm ADV

Registered with (8)

← BRIAN LOUIS BOLLAdvisorregistration: previous registration
Jun 29, 2016 to Aug 18, 2017factForm ADV
← JARED DUANE WILLIAMSAdvisorregistration: previous registration
Jul 11, 2016 to Aug 18, 2017factForm ADV
← DAVID ELGIN MAXEYAdvisorregistration: previous registration
Sep 15, 2014 to Aug 18, 2017factForm ADV
← MICHAEL BRENT FROSTAdvisorregistration: previous registration
Jul 7, 2011 to Aug 18, 2017factForm ADV
← JEFFREY MICHAEL JONESAdvisorregistration: previous registration
Nov 20, 2013 to Aug 18, 2017factForm ADV
← BRENT JAMES EMCHAdvisorregistration: previous registration
Apr 1, 2017 to Aug 18, 2017factForm ADV
← TYLER ROBERT KARLAdvisorregistration: previous registration
Jun 21, 2016 to Aug 18, 2017factForm ADV
← JOHN MICHAEL MERSEKAdvisorregistration: previous registration
Dec 2, 2014 to May 26, 2015factForm ADV

Moved with (1)

→ HERITAGE WEALTH MANAGEMENT, LLCRegistered adviser7 advisors, firm absorbed, same day
Aug 18, 2017 to Jul 24, 2017factForm ADV

Dated events

Occurred
Aug 25, 2015
First Form ADV filing
Heritage Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d443c3e-978d-0022-a225-47fa8ce1e987
First observed: Aug 25, 2015
Last observed: Feb 14, 2017 116 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.

HERITAGE WEALTH MANAGEMENT, LLC

CRD 158107

PHOENIX, AZ

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:4d443c3e-978d-0022-a225-47fa8ce1e987

Data as of Feb 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FROST, MICHAEL, BRENT

President

yes

05/2011

Aug 25, 2015

Feb 14, 2017

HEALEY, KEEGAN, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

09/2015

Sep 30, 2015

Feb 14, 2017

NELSON, RALPH, ERWIN

CHIEF EXECUTIVE OFFICER

yes

12/2016

Feb 14, 2017

MAXEY, DAVID, ELGIN

Director

12/2016

Feb 14, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FROST AND ASSOCIATES, LLC

n/a

yes

n/a

HERITAGE CERTIFIED PUBLIC ACCOUNTANTS, PLLC

n/a

yes

n/a

HERITAGE INSURANCE ADVISORS, LLC

n/a

yes

n/a

NELSON HEALEY, PC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Feb 14, 2017

$159M

n/a

2015

Jan 22, 2016

$111M

$110M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$159M

$111M

43.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HERITAGE WEALTH MANAGEMENT, LLC

Aug 18, 2017

Jul 24, 2017

PHOENIX, AZ

Firm absorbed

Other

100.0%