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.

Former SEC-registered adviser

Heffernan Investment Advisors, Inc.

Former SEC-registered adviserSan Francisco, CaliforniaCRD 118369SEC 801-66890IAPD
Latest filing Aug 14, 2012
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$87.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$87.3M as of Aug 14, 2012
Mar 28, 2012$87.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 14, 2012
Mar 28, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 14, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$342,200derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
255reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Michael Francis Heffernan · Cfocontrol
      since 03/2011 · owns less than 5%
    • William Andrew Ryan · Chief Investment Officer/Chief Compliance Officercontrol
      since 05/2000 · owns less than 5%
    • Steve Williams · Ceocontrol
      since 03/2011 · owns less than 5%
    • Michael Francis Heffernan · Ownercontrol
      since 05/2000 · owns 50% to 75% of Heff. Ins. Brk
    • Molinare Marcella Saliba · Secretary
      since 03/2010 · owns less than 5%
    Entity owners
    • Heffernan Insurance Brokers · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Atlin Capital Advisers, LLC
      investment advisern
    • Atlin Capital Partners, LP
      pooled vehicle sponsorn
    • Awr Investment Management, LLC
      investment advisernRAUM $132M
    • Heffernan Insurance Brokers
      real estatey
    • Heffernan Securities, LLC
      broker-dealern
    • Investor Epointinsure Captive Four, LLC
      pooled vehicle sponsorn
    • Investor Epointinsure Captive Three, LLC
      pooled vehicle sponsorn
    • Investor Epointinsure Captive Two, LLC
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    • San Rafael, CA
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026