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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

HEFFERNAN INVESTMENT ADVISORS, INC.

CRD 118369

SAN FRANCISCO, 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:5a5c3727-909c-e8e9-70a2-3460a2d41377

Data as of Aug 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Aug 14, 2012
6 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: $87.3MItem 5.F on the latest filing (2012-08-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $87.3M
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
Accounts: 255
SEC number: 801-66890
CRD: 118369
Filings on the tape: 6
First filed: Mar 28, 2012
Latest filed: Aug 14, 2012
Organised: Corporation, 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
HEFFERNAN, FRANCIS, MICHAEL	Owner	D	yes	05/2000	Mar 28, 2012	Aug 14, 2012
HEFFERNAN, FRANCIS, MICHAEL	Cfo	Na	yes	03/2011	Mar 28, 2012	Aug 14, 2012
RYAN, ANDREW, WILLIAM	CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	05/2000	Mar 28, 2012	Aug 14, 2012
WILLIAMS, STEVE	Ceo	Na	yes	03/2011	Mar 28, 2012	Aug 14, 2012
HEFFERNAN INSURANCE BROKERS	Shareholder	E	no	05/2000	Mar 28, 2012	Aug 14, 2012
SALIBA, MARCELLA, MOLINARE	Secretary	Na	no	03/2010	Mar 28, 2012	Aug 14, 2012

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
AWR INVESTMENT MANAGEMENT, LLC	n/a	Independent wealth	$132M	N	no	n/a
ATLIN CAPITAL ADVISERS, LLC	n/a	n/a	n/a	N	yes	n/a
ATLIN CAPITAL PARTNERS, LP	n/a	n/a	n/a	N	yes	n/a
HEFFERNAN INSURANCE BROKERS	n/a	n/a	n/a	Y	no	n/a
HEFFERNAN SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
INVESTOR EPOINTINSURE CAPTIVE FOUR, LLC	n/a	n/a	n/a	N	yes	n/a
INVESTOR EPOINTINSURE CAPTIVE THREE, LLC	n/a	n/a	n/a	N	yes	n/a
INVESTOR EPOINTINSURE CAPTIVE TWO, LLC	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
SAN RAFAEL	CA	United States	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
2011	Mar 28, 2012	$87.3M	$87.3M	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
2011	$87.3M	n/a	n/a	n/a	n/a	n/a	n/a	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
GLOBAL RETIREMENT PARTNERS LLC	2	Jan 13, 2017	Aug 5, 2016	SAN RAFAEL, CA	Team lift out	Other	50.0%

Relationships

Affiliated with (1)

→ AWR INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser
factForm ADV

Controls (3)

← RYAN, ANDREW, WILLIAMOwnerCHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← HEFFERNAN, FRANCIS, MICHAELOwnerOWNER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← WILLIAMS, STEVEOwnerCEO, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Owns (2)

← SALIBA, MARCELLA, MOLINAREOwnerSECRETARY, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← HEFFERNAN INSURANCE BROKERSOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Registered with (8)

← ANDREW WILLIAM RYANAdvisorregistration: previous registration
Jul 31, 2000 to Jan 13, 2017factForm ADV
← STEVEN TED EPSTEINAdvisorregistration: previous registration
Aug 7, 2012 to Jan 13, 2017factForm ADV
← BLAKE ALEXANDER THIBAULTAdvisorregistration: previous registration
Apr 6, 2016 to Jan 13, 2017factForm ADV
← REBECCA MARIE TAPIAAdvisorregistration: previous registration
Jan 17, 2014 to Jan 13, 2017factForm ADV
← MARCELLA MOLINARE SALIBAAdvisorregistration: previous registration
Sep 3, 2012 to Jan 14, 2015factForm ADV
← SANFORD PHILIP LOWENGARTAdvisorregistration: previous registration
Feb 4, 2009 to Mar 6, 2013factForm ADV
← JOSHUA CHRISTIAN SCHEFERSAdvisorregistration: previous registration
Oct 29, 2010 to Oct 11, 2011factForm ADV
← JOSHUA ADAM SUESSAdvisorregistration: previous registration
Mar 23, 2006 to Apr 14, 2008factForm ADV

Moved with (1)

→ GLOBAL RETIREMENT PARTNERS LLCRegistered adviser2 advisors, team lift out, same day
Jan 13, 2017 to Aug 5, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a5c3727-909c-e8e9-70a2-3460a2d41377
First observed: Mar 28, 2012
Last observed: Aug 14, 2012 171 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.

HEFFERNAN INVESTMENT ADVISORS, INC.

CRD 118369

SAN FRANCISCO, 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:5a5c3727-909c-e8e9-70a2-3460a2d41377

Data as of Aug 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:22 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HEFFERNAN, FRANCIS, MICHAEL

Owner

yes

05/2000

Mar 28, 2012

Aug 14, 2012

HEFFERNAN, FRANCIS, MICHAEL

Cfo

yes

03/2011

Mar 28, 2012

Aug 14, 2012

RYAN, ANDREW, WILLIAM

CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER

yes

05/2000

Mar 28, 2012

Aug 14, 2012

WILLIAMS, STEVE

Ceo

yes

03/2011

Mar 28, 2012

Aug 14, 2012

HEFFERNAN INSURANCE BROKERS

Shareholder

05/2000

Mar 28, 2012

Aug 14, 2012

SALIBA, MARCELLA, MOLINARE

Secretary

03/2010

Mar 28, 2012

Aug 14, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AWR INVESTMENT MANAGEMENT, LLC

n/a

Independent wealth

$132M

n/a

ATLIN CAPITAL ADVISERS, LLC

n/a

yes

n/a

ATLIN CAPITAL PARTNERS, LP

n/a

yes

n/a

HEFFERNAN INSURANCE BROKERS

n/a

HEFFERNAN SECURITIES, LLC

n/a

yes

n/a

INVESTOR EPOINTINSURE CAPTIVE FOUR, LLC

n/a

yes

n/a

INVESTOR EPOINTINSURE CAPTIVE THREE, LLC

n/a

yes

n/a

INVESTOR EPOINTINSURE CAPTIVE TWO, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN RAFAEL

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 28, 2012

$87.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$87.3M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL RETIREMENT PARTNERS LLC

Jan 13, 2017

Aug 5, 2016

SAN RAFAEL, CA

Team lift out

Other

50.0%