DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HERITAGE ASSET ADVISORS LTD., LLP

CRD 144125

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:5e0a99a1-4909-2c35-da36-8ad2208a5636

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Mar 30, 2026
20 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $307MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $294M
Private client RAUM: $305MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $76.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 759
Individual clients: 298
High net worth clients: 93
Custody, client assets: $117M
SEC number: 801-67956
CRD: 144125
Filings on the tape: 20
First filed: Mar 26, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Partnership, TX
Website: heritageassetadvisors.com

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
PATRICK F SHINN	Certified Financial Planner	HOUSTON, TX	19	32	1	no
AMY WOOD GARZA	n/a	HOUSTON, TX	19	27	1	no
KATIE ELIZABETH TENNENT	n/a	HOUSTON, TX	17	17	n/a	no
LAURA ANNE SMITH	Certified Financial Planner	HOUSTON, TX	17	19	1	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
HERITAGE ADVISORS, INC.	GENERAL PARTNER	Na	yes	04/2007	Mar 26, 2012	Sep 10, 2024
SHINN, ANNE, ELIZABETH	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	D	yes	09/2007	Mar 26, 2012	Sep 10, 2024
SHINN, ANNE, ELIZABETH	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	09/2007	Mar 26, 2012	Sep 10, 2024
SHINN, PATRICK, F	PRESIDENT AND PARTNER	D	yes	07/2007	Mar 26, 2012	Sep 10, 2024
SHINN, PATRICK, F	PRESIDENT AND PARTNER	C	yes	07/2007	Mar 26, 2012	Sep 10, 2024
SMITH, LAURA, ANNE	Partner	A	no	05/2007	Mar 26, 2012	Sep 10, 2024
TENNENT, KATIE, ELIZABETH	Partner	A	no	05/2007	Mar 26, 2012	Sep 10, 2024

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 30, 2026	$307M	$294M	5	4	0	n/a	n/a
2024	Mar 26, 2025	$256M	$249M	5	4	0	n/a	n/a
2023	Mar 28, 2024	$246M	$240M	5	4	0	n/a	n/a
2022	Mar 28, 2023	$215M	$210M	5	4	0	n/a	n/a
2021	Mar 30, 2022	$247M	$246M	5	4	0	n/a	n/a
2020	Mar 31, 2021	$220M	$217M	5	4	0	n/a	n/a
2019	Mar 20, 2020	$210M	$209M	5	4	0	n/a	n/a
2018	Mar 27, 2019	$177M	$169M	5	4	0	n/a	n/a
2017	Mar 23, 2018	$200M	$194M	5	4	0	n/a	n/a
2016	Mar 28, 2017	$219M	$204M	5	4	n/a	n/a	n/a
2015	Mar 25, 2016	$195M	$182M	6	5	n/a	n/a	n/a
2014	Mar 24, 2015	$224M	$206M	6	5	n/a	n/a	n/a
2013	Mar 17, 2014	$231M	$211M	6	5	n/a	n/a	n/a
2012	Mar 6, 2013	$209M	$195M	6	5	n/a	n/a	n/a
2011	Mar 26, 2012	$175M	$168M	n/a	n/a	n/a	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	$307M	$256M	19.6%	$215M	12.5%	5	5	0	0

Relationships

Registered with (4)

← LAURA ANNE SMITHAdvisorregistration: previous registration
Jun 21, 2007 to Jan 22, 2008factForm ADV
← KATIE ELIZABETH TENNENTAdvisorregistration: current employment
Apr 20, 2009 to presentfactForm ADV
← AMY WOOD GARZAAdvisorregistration: current employment
Jul 16, 2007 to presentfactForm ADV
← PATRICK F SHINNAdvisorregistration: current employment
Jul 9, 2007 to presentfactForm ADV

Controls (3)

← SHINN, PATRICK, FOwnerPRESIDENT AND PARTNER, ownership code D, individual
Mar 26, 2012 to Sep 10, 2024factForm ADV
← SHINN, ANNE, ELIZABETHOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 26, 2012 to Sep 10, 2024factForm ADV
← HERITAGE ADVISORS, INC.OwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 26, 2012 to Sep 10, 2024factForm ADV

Owns (2)

← TENNENT, KATIE, ELIZABETHOwnerPARTNER, ownership code A, individual
Mar 26, 2012 to Sep 10, 2024factForm ADV
← SMITH, LAURA, ANNEOwnerPARTNER, ownership code A, individual
Mar 26, 2012 to Sep 10, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e0a99a1-4909-2c35-da36-8ad2208a5636
First observed: Mar 26, 2012
Last observed: Mar 30, 2026 5 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 ASSET ADVISORS LTD., LLP

CRD 144125

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:5e0a99a1-4909-2c35-da36-8ad2208a5636

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:18 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PATRICK F SHINN

Certified Financial Planner

HOUSTON, TX

AMY WOOD GARZA

n/a

HOUSTON, TX

KATIE ELIZABETH TENNENT

n/a

HOUSTON, TX

n/a

LAURA ANNE SMITH

Certified Financial Planner

HOUSTON, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HERITAGE ADVISORS, INC.

GENERAL PARTNER

yes

04/2007

Mar 26, 2012

Sep 10, 2024

SHINN, ANNE, ELIZABETH

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

09/2007

Mar 26, 2012

Sep 10, 2024

SHINN, ANNE, ELIZABETH

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

09/2007

Mar 26, 2012

Sep 10, 2024

SHINN, PATRICK, F

PRESIDENT AND PARTNER

yes

07/2007

Mar 26, 2012

Sep 10, 2024

SHINN, PATRICK, F

PRESIDENT AND PARTNER

yes

07/2007

Mar 26, 2012

Sep 10, 2024

SMITH, LAURA, ANNE

Partner

05/2007

Mar 26, 2012

Sep 10, 2024

TENNENT, KATIE, ELIZABETH

Partner

05/2007

Mar 26, 2012

Sep 10, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$307M

$294M

n/a

2024

Mar 26, 2025

$256M

$249M

n/a

2023

Mar 28, 2024

$246M

$240M

n/a

2022

Mar 28, 2023

$215M

$210M

n/a

2021

Mar 30, 2022

$247M

$246M

n/a

2020

Mar 31, 2021

$220M

$217M

n/a

2019

Mar 20, 2020

$210M

$209M

n/a

2018

Mar 27, 2019

$177M

$169M

n/a

2017

Mar 23, 2018

$200M

$194M

n/a

2016

Mar 28, 2017

$219M

$204M

n/a

2015

Mar 25, 2016

$195M

$182M

n/a

2014

Mar 24, 2015

$224M

$206M

n/a

2013

Mar 17, 2014

$231M

$211M

n/a

2012

Mar 6, 2013

$209M

$195M

n/a

2011

Mar 26, 2012

$175M

$168M

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

$307M

$256M

19.6%

$215M

12.5%