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RIA / WealthAdvisor44 years in industry

David Donald Moenning

Advisor at HERITAGE CAPITAL ADVISORS, LLC

ARVADA, CO

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Search this name across graphsid dfx:ria:9c4e73db-41fa-02b0-a290-489c4d85290d

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

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 12, 1998 to Sep 14, 2026

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

Current firm: HERITAGE CAPITAL ADVISORS, LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 9, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 9, 1982
First registration: Jan 12, 1998
Dual registered: no
IAPD individual key: 1023866

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HERITAGE CAPITAL ADVISORS, LLC	Asset manager	Oct 21, 2024	n/a	yes	ARVADA, CO	Current employment
EASTSOUND CAPITAL ADVISORS, LLC	Independent wealth	May 17, 2019	Jan 7, 2025	no	Arvada, CO	Previous registration
SOWELL MANAGEMENT	Independent wealth	Dec 18, 2015	Feb 13, 2018	no	Evergreen, CO\|NORTH LITTLE ROCK, AR	Previous registration
CONCERT WEALTH MANAGEMENT	Former SEC adviser	Feb 24, 2014	Dec 21, 2015	no	SCHAUMBERG, IL\|EVERGREEN, CO\|SAN JOSE, CA\|HOFFMAN ESTATES, IL	Previous registration
HERITAGE CAPITAL ADVISORS, LLC	n/a	Jul 12, 2013	Dec 18, 2013	no	EVERGREEN, CO	Previous registration
HERITAGE CAPITAL MANAGEMENT INC	Former SEC adviser	Jan 12, 1998	Dec 17, 2015	no	SCHAUMBURG, IL\|EVERGREEN, CO\|SCHAUMBURG, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EASTSOUND CAPITAL ADVISORS, LLC	HERITAGE CAPITAL ADVISORS, LLC	Jan 7, 2025	Oct 21, 2024	-78	Firm change after gap	Other
SOWELL MANAGEMENT	EASTSOUND CAPITAL ADVISORS, LLC	Feb 13, 2018	May 17, 2019	458	Firm change after gap	Other
CONCERT WEALTH MANAGEMENT	SOWELL MANAGEMENT	Dec 21, 2015	Dec 18, 2015	-3	Firm change	Other
HERITAGE CAPITAL MANAGEMENT INC	HERITAGE CAPITAL ADVISORS, LLC	Dec 17, 2015	Jul 12, 2013	-888	Firm change after gap	Other
HERITAGE CAPITAL ADVISORS, LLC	CONCERT WEALTH MANAGEMENT	Dec 18, 2013	Feb 24, 2014	68	Firm change	Other

Relationships

Registered with (6)

→ HERITAGE CAPITAL ADVISORS, LLCRegistered adviserregistration: current employment
Oct 21, 2024 to presentfactForm ADV
→ EASTSOUND CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
May 17, 2019 to Jan 7, 2025factForm ADV
→ SOWELL MANAGEMENTRegistered adviserregistration: previous registration
Dec 18, 2015 to Feb 13, 2018factForm ADV
→ CONCERT WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 24, 2014 to Dec 21, 2015factForm ADV
→ HERITAGE CAPITAL MANAGEMENT INCRegistered adviserregistration: previous registration
Jan 12, 1998 to Dec 17, 2015factForm ADV
→ HERITAGE CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 12, 2013 to Dec 18, 2013factForm ADV

Dated events

Occurred
Jan 7, 2025
Advisor changed firm
David Donald Moenning left Eastsound Capital Advisors, Llc for Heritage Capital Advisors, Llc (registered 2024-10-21)
Form ADVobserved 5 days ago