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

HELLER WEALTH ADVISORS, LLC.

CRD 153730

SUMMIT, NJ

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:cda33388-2557-5dbb-5c41-3f7db8ed2f08

Data as of Mar 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2012 to Mar 27, 2019
22 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: $458MItem 5.F on the latest filing (2019-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $393M
Private client RAUM: $385MderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,220
Individual clients: 157
High net worth clients: 85
Custody, client assets: $192M
SEC number: 801-72008
CRD: 153730
Filings on the tape: 22
First filed: Mar 8, 2012
Latest filed: Mar 27, 2019
Organised: Limited Liability Company, New Jersey

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
DROWN, SCOTT, JOSEPH	OPERATIONS MANAGER	A	yes	12/2017	Mar 8, 2012	Mar 27, 2019
HELLER, JORDAN	Ceo	E	yes	03/2017	Mar 8, 2012	Mar 27, 2019
HERTLING, DONALD, JOHN	CHIEF COMPLIANCE OFFICER/ PRESIDENT	A	yes	03/2017	Mar 8, 2012	Mar 27, 2019
NEW LEGACY GROUP, LLC	Member	A	no	04/2011	Jun 7, 2013	Mar 27, 2019

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	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
2018	Mar 27, 2019	$458M	$393M	9	7	1	n/a	n/a
2017	Mar 2, 2018	$378M	$378M	8	7	1	n/a	n/a
2016	Mar 15, 2017	$366M	$366M	7	4	n/a	n/a	n/a
2015	Feb 9, 2016	$417M	$417M	6	4	n/a	n/a	n/a
2014	Jan 22, 2015	$349M	$349M	6	5	n/a	n/a	n/a
2013	Mar 21, 2014	$303M	$300M	5	4	n/a	n/a	n/a
2012	Mar 15, 2013	$234M	$232M	4	3	n/a	n/a	n/a
2011	Mar 8, 2012	$239M	$239M	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
2018	$458M	$378M	21.0%	$417M	3.2%	9	8	1	1

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
BEACON POINTE WEALTH ADVISORS, LLC	5	May 7, 2019	May 6, 2019	SUMMIT, NJ	Firm absorbed	RIA to RIA	71.4%

Relationships

Owns (1)

← NEW LEGACY GROUP, LLCOwnerMEMBER, ownership code A, domestic entity
Jun 7, 2013 to presentfactForm ADV

Controls (3)

← HELLER, JORDANOwnerCEO, ownership code E, individual
Mar 8, 2012 to presentfactForm ADV
← HERTLING, DONALD, JOHNOwnerCHIEF COMPLIANCE OFFICER/ PRESIDENT, ownership code A, individual
Mar 8, 2012 to presentfactForm ADV
← DROWN, SCOTT, JOSEPHOwnerOPERATIONS MANAGER, ownership code A, individual
Mar 8, 2012 to presentfactForm ADV

Registered with (8)

← JORDAN HELLERAdvisorregistration: previous registration
Apr 1, 2011 to May 7, 2019factForm ADV
← DONALD JOHN HERTLINGAdvisorregistration: previous registration
Feb 16, 2011 to May 7, 2019factForm ADV
← MICHAEL JOHN WHITTEMOREAdvisorregistration: previous registration
Mar 23, 2017 to May 7, 2019factForm ADV
← SCOTT J DROWNAdvisorregistration: previous registration
Mar 18, 2011 to May 7, 2019factForm ADV
← MELISSA J GERCKENSAdvisorregistration: previous registration
Oct 14, 2016 to May 7, 2019factForm ADV
← CALLIE LORRAINE RENNERAdvisorregistration: previous registration
Jul 7, 2016 to May 7, 2019factForm ADV
← James G ElliottAdvisorregistration: previous registration
Jun 6, 2018 to May 7, 2019factForm ADV
← MARK MEENA ANDRAOSAdvisorregistration: previous registration
May 27, 2014 to Apr 2, 2018factForm ADV

Moved with (1)

→ BEACON POINTE WEALTH ADVISORS, LLCRegistered adviser5 advisors, firm absorbed, same day
May 7, 2019 to May 6, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cda33388-2557-5dbb-5c41-3f7db8ed2f08
First observed: Mar 8, 2012
Last observed: Mar 27, 2019 91 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.

HELLER WEALTH ADVISORS, LLC.

CRD 153730

SUMMIT, NJ

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:cda33388-2557-5dbb-5c41-3f7db8ed2f08

Data as of Mar 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:57 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DROWN, SCOTT, JOSEPH

OPERATIONS MANAGER

yes

12/2017

Mar 8, 2012

Mar 27, 2019

HELLER, JORDAN

Ceo

yes

03/2017

Mar 8, 2012

Mar 27, 2019

HERTLING, DONALD, JOHN

CHIEF COMPLIANCE OFFICER/ PRESIDENT

yes

03/2017

Mar 8, 2012

Mar 27, 2019

NEW LEGACY GROUP, LLC

Member

04/2011

Jun 7, 2013

Mar 27, 2019

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 27, 2019

$458M

$393M

n/a

2017

Mar 2, 2018

$378M

n/a

2016

Mar 15, 2017

$366M

n/a

2015

Feb 9, 2016

$417M

n/a

2014

Jan 22, 2015

$349M

n/a

2013

Mar 21, 2014

$303M

$300M

n/a

2012

Mar 15, 2013

$234M

$232M

n/a

2011

Mar 8, 2012

$239M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$458M

$378M

21.0%

$417M

3.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BEACON POINTE WEALTH ADVISORS, LLC

May 7, 2019

May 6, 2019

SUMMIT, NJ

Firm absorbed

RIA to RIA

71.4%