DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
H••••••• I••••••••• G••••• I•••
Latest filing Jul 27, 2026
First filing on the tape Mar 15, 2012 · 37 filings
SEC status approved since Jul 16, 2001
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$2.2B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
21
12 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$2.2B as of Jul 27, 2026
Mar 15, 2012$627M then
HNW client RAUM$2.0B as of Jul 27, 2026
Mar 30, 2018$931M then
State-registered IARs (5.B.3)12 as of Jul 27, 2026
Mar 26, 201311 then
Employees (5.A)21 as of Jul 27, 2026
Mar 26, 201317 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 13 to 12offices 4 to 3
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $995,220derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.6B, 743 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B89%
- Individuals$191M8.6%
- Pension and profit-sharing plans$31.2M1.4%
- Charitable organizations$24.8M1.1%
- Individual clients
- 450reported
- HNW clients
- 444reported
- Pension plan clients
- 4reported
- Charitable clients
- 8reported
- Accounts
- 2,239reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 743 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• B•••• M•••••• | Pompano Beach, Fl | May 5, 1994 | 36 y | 0 |
| S••••• H•••• T••••• | Pompano Beach, Fl | Jul 16, 2001 | 29 y | 1 |
| F•••••••• R••••••• M••••••• J••Certified Financial Planner, Chartered Financial Analyst | Pompano Beach, Fl | Jul 16, 2001 | 33 y | 1 |
| R••••• I•• M••••••• | Pompano Beach, Fl | Jul 16, 2001 | 32 y | 0 |
| T•••••• G•••• S••••••• | Tampa, Fl | Oct 12, 2004 | 29 y | 1 |
| C•••• C•••••••• C•••••Certified Financial Planner, Chartered Financial Analyst | Pompano Beach, Fl | May 30, 2006 | 27 y | 1 |
| S•••• L•• B•••• | Pompano Beach, Fl | Jan 4, 2007 | 35 y | 1 |
| E••• O••• J•••••• | Pompano Beach, Fl | Apr 28, 2011 | 23 y | 2 |
| D•••• K•••••• T•••Certified Financial Planner, Chartered Financial Analyst | Pompano Beach, Fl | Apr 5, 2012 | 15 y | 0 |
| N••••••• B•••••• M••••••••Certified Financial Planner | Tampa, Fl | Apr 28, 2014 | 15 y | 1 |
| J••• D• R••••••Certified Financial Planner | Pompano Beach, Fl | Nov 9, 2017 | 10 y | 1 |
| F•••••••• R••••••• M••••••Certified Financial Planner, Chartered Financial Analyst | Pompano Beach, Fl | Oct 25, 2021 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• D• R•••••• from S••••••• P•••••• A•••••••• L•••Nov 9, 2017 · Other
- N••••••• B•••••• M•••••••• from E•••• • Y•••• I••••••••• A••••••• L••Apr 28, 2014 · Other
- E••• O••• J•••••• from E••••• J••••Apr 28, 2011 · Other
- S•••• L•• B•••• from C•••••• S••••• • C••• I•••Jan 4, 2007 · Other
- C•••• C•••••••• C••••• from C•••••• S••••• • C••• I•••May 30, 2006 · Other
- T•••••• G•••• S••••••• from H••••••• I••••••••• A•••••••• L••Oct 12, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• J••• F••••••••• · President/Co-Trustee Of F••••••••controlsince 01/2005 · owns less than 5%
- M••••••• L••••• G• · Trustee Of L•••• M•••••• I••••••••• Trustcontrolsince 03/2026 · owns 75% or more
- M•••••••• R•••••• I•• · Secretary/Treasurer Jr. Rev. Trust/Trustee Of M•••••• Family Trustcontrolsince 02/1997 · owns less than 5%
- M•••••••• T••••• M• · Head Of Tradingcontrolsince 01/2014 · owns less than 5%
- S•••••••• T••••••• G•••• · Chief Investment Officer/Trustee Of T•••••• G•••• S••••••• Rev. Trustcontrolsince 01/2007 · owns less than 5%
- T•••••• S•••••• H•••• · Vice President/Cco/ Co-Trustee Of The T••••• Family Rev. Trustcontrolsince 02/1997 · owns less than 5%
- T•••••• H••••• R• · Co-Trustee Of The T••••• Family Rev. Trustsince 01/2014 · owns less than 5%
- T•••• C•••••••• E•••••••• · Co-Trustee Of The T••• R••••••••T•••••• By The E••••••• Trustsince 09/2011 · owns less than 5%
- T•••• D••••• K•••••• · Co-Trustee Of The T••• R•••••••• T•••••• By The E••••••• Trustsince 09/2011 · owns less than 5%
Entity owners
- F•••••••• R• M••••••• J•• R••• T•••• D•••• 0••••••• · Ownerdirect · owns 50% to 75%
- M•••••• F••••• T•••• F•••• · Ownerdirect · owns 5% to 10%
- M•••••• F••••• T•••• F•••• F•••••••• R• M•••••• I•• D•••• 0••••••• · Ownerdirect · owns 5% to 10%
- M•••••• F••••• T•••• F•••• M••••••• R• M•••••• D•••• 0••••••• · Ownerdirect · owns 5% to 10%
- R••••• I•• M••••••• A•• T•••• M• M••••••• • T•••••• B• T•• E••••••• · Ownerdirect · owns 5% to 10%
- T•••••• G•••• S••••••• R••• T•••• D•••• 1••••••• · Ownerdirect · owns 10% to 25%
- L•••• M•••••• I••••••••• · Ownerdirect · owns 5% to 10%
- T••• R•••••••• T•••••• B• T•• E••••••• T•••• D•••• 9•••••• · Ownerdirect · owns less than 5%
- T•• T••••• F••••• R••• T•••• D•••• 0••••••• · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- F•• P•••••••• L••pooled vehicle sponsorn
- H•••••• R•••• • R•••• L••insurancen
- M•••••• • E••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pompano Beach, Fl · principal | 12 | 0 | 0 | ||
| Tampa, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL2 employees
- Orlando, FL1 employees
- Pompano Beach, FL1 employees
- Pompano Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 2,211 to 2,239Dec 2, 2025 to Mar 19, 2026
- Advisory employees · 13 to 12Dec 2, 2025 to Mar 19, 2026
- Charity clients · 7 to 8Dec 2, 2025 to Mar 19, 2026
- HNW clients · 394 to 444Dec 2, 2025 to Mar 19, 2026
- Individual clients · 462 to 450Dec 2, 2025 to Mar 19, 2026
- Assets in custody · $1.4B to $1.6BDec 2, 2025 to Mar 19, 2026
- Financial planning clients · 101-250 to 251-500Dec 2, 2025 to Mar 19, 2026
- State-registered IARs · 13 to 12Dec 2, 2025 to Mar 19, 2026
- Other offices · 4 to 3Dec 2, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.9B to $2.2BDec 2, 2025 to Mar 19, 2026
- HNW RAUM · $1.7B to $2.0BDec 2, 2025 to Mar 19, 2026
- Individual RAUM · $204M to $191MDec 2, 2025 to Mar 19, 2026
- Pension RAUM · $26.0M to $31.2MDec 2, 2025 to Mar 19, 2026
- RAUM · $1.9B to $2.2BDec 2, 2025 to Mar 19, 2026
- Related insurance company · true to falseDec 2, 2025 to Mar 19, 2026
- Accounts · 2,051 to 2,211Feb 29, 2024 to Mar 27, 2025
- Charity clients · 6 to 7Feb 29, 2024 to Mar 27, 2025
- HNW clients · 360 to 394Feb 29, 2024 to Mar 27, 2025
- Individual clients · 469 to 462Feb 29, 2024 to Mar 27, 2025
- Assets in custody · $1.2B to $1.4BFeb 29, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Feb 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.7B to $1.9BFeb 29, 2024 to Mar 27, 2025
- HNW RAUM · $1.5B to $1.7BFeb 29, 2024 to Mar 27, 2025
- Individual RAUM · $210M to $204MFeb 29, 2024 to Mar 27, 2025
- Pension RAUM · $25.7M to $26.0MFeb 29, 2024 to Mar 27, 2025
- RAUM · $1.7B to $1.9BFeb 29, 2024 to Mar 27, 2025
- Accounts · 2,002 to 2,051Sep 15, 2023 to Feb 29, 2024
- Advisory employees · 15 to 13Sep 15, 2023 to Feb 29, 2024
- HNW clients · 331 to 360Sep 15, 2023 to Feb 29, 2024
- Individual clients · 477 to 469Sep 15, 2023 to Feb 29, 2024
- Assets in custody · $1.0B to $1.2BSep 15, 2023 to Feb 29, 2024
- Employees · 23 to 21Sep 15, 2023 to Feb 29, 2024
- State-registered IARs · 15 to 13Sep 15, 2023 to Feb 29, 2024
- Discretionary RAUM · $1.5B to $1.7BSep 15, 2023 to Feb 29, 2024
- HNW RAUM · $1.3B to $1.5BSep 15, 2023 to Feb 29, 2024
- Individual RAUM · $204M to $210MSep 15, 2023 to Feb 29, 2024
- Pension RAUM · $21.2M to $25.7MSep 15, 2023 to Feb 29, 2024
- RAUM · $1.5B to $1.7BSep 15, 2023 to Feb 29, 2024
- Accounts · 1,888 to 2,002Jul 13, 2022 to Mar 28, 2023
- HNW clients · 365 to 331Jul 13, 2022 to Mar 28, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 813-258-1759reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 954-785-5400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-684-9139reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/heritage-investment-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FIDUCIARYINVESTING.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 954-785-5400reportedpublic record, Form ADV, Jul 27, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026