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

HERITAGE FINANCIAL SOLUTIONS, LLC

DIVERSIFIED PORTFOLIO MANAGEMENT, LLC, CRD 131008

DODGE CITY, KS

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:af4a6661-915a-4e65-7d31-c23fce6ebeaa

Data as of Sep 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 5
On other graphs: 0
Observed: Feb 2, 2012 to Sep 27, 2023
18 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: $84.2MItem 5.F on the latest filing (2023-09-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $84.2M
Private client RAUM: $77.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $84.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 393
Individual clients: 143
High net worth clients: 17
Custody, client assets: $84.0M
SEC number: 801-121552
CRD: 131008
Filings on the tape: 18
First filed: Feb 2, 2012
Latest filed: Sep 27, 2023
Organised: Limited Liability Company, Kansas

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
AMBER LEE WALLIS	n/a	DODGE CITY, KS	13	24	2	yes

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
WALLIS, AMBER, LEE	CHIEF COMPLIANCE OFFICER	E	yes	01/2020	May 20, 2021	Sep 27, 2023
WALLIS, AMBER, LEE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2020	May 20, 2021	Sep 27, 2023
WILLIAM HAYDEN WEALTH MANAGEMENT, LLC	Member	E	yes	01/2013	May 20, 2021	Sep 27, 2023

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
2022	Mar 26, 2023	$90.4M	$90.4M	2	1	0	n/a	n/a
2021	Mar 29, 2022	$106M	$106M	4	2	0	n/a	n/a
2011	Feb 13, 2012	$62.2M	$62.2M	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
2022	$84.2M	$106M	-20.5%	n/a	n/a	2	4	0	0

Relationships

Controls (2)

← WALLIS, AMBER, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
May 20, 2021 to presentfactForm ADV
← WILLIAM HAYDEN WEALTH MANAGEMENT, LLCOwnerMEMBER, ownership code E, domestic entity
May 20, 2021 to presentfactForm ADV

Registered with (1)

← AMBER LEE WALLISAdvisorregistration: current employment
May 10, 2013 to presentfactForm ADV

Dated events

Occurred
May 20, 2021
First Form ADV filing
Heritage Financial Solutions, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago
Occurred
May 20, 2021
Control person left
Curtis Larry Cook (Chief Compliance Officer) no longer on Schedule A of Heritage Financial Solutions, Llc (listed 2012-03-27, absent 2021-05-20)
Form ADVobserved 5 days ago
Occurred
May 20, 2021
Control person left
Kent Elwood Smoll (Member) no longer on Schedule A of Heritage Financial Solutions, Llc (listed 2012-03-27, absent 2021-05-20)
Form ADVobserved 5 days ago
Occurred
May 20, 2021
Control person left
Rose Carolyn Banning (Member) no longer on Schedule A of Heritage Financial Solutions, Llc (listed 2012-03-27, absent 2021-05-20)
Form ADVobserved 5 days ago
Occurred
May 20, 2021
Control person joined
Lee Amber Wallis (Chief Compliance Officer) appeared on Schedule A of Heritage Financial Solutions, Llc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af4a6661-915a-4e65-7d31-c23fce6ebeaa
First observed: Feb 2, 2012
Last observed: Sep 27, 2023 36 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 FINANCIAL SOLUTIONS, LLC

DIVERSIFIED PORTFOLIO MANAGEMENT, LLC, CRD 131008

DODGE CITY, KS

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:af4a6661-915a-4e65-7d31-c23fce6ebeaa

Data as of Sep 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:02 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

AMBER LEE WALLIS

n/a

DODGE CITY, KS

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WALLIS, AMBER, LEE

CHIEF COMPLIANCE OFFICER

yes

01/2020

May 20, 2021

Sep 27, 2023

WALLIS, AMBER, LEE

CHIEF COMPLIANCE OFFICER

yes

01/2020

May 20, 2021

Sep 27, 2023

WILLIAM HAYDEN WEALTH MANAGEMENT, LLC

Member

yes

01/2013

May 20, 2021

Sep 27, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 26, 2023

$90.4M

n/a

2021

Mar 29, 2022

$106M

n/a

2011

Feb 13, 2012

$62.2M

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

2022

$84.2M

$106M

-20.5%

n/a