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.
SEC-registered adviser
Heritage Wealth Advisors
Legal name Heritage Wealth Advisors, LLC
Latest filing Jul 30, 2026
First filing on the tape Mar 21, 2012 · 42 filings
SEC status approved since Oct 27, 2005
RAUM
$4.9B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
55%
$2.7B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$324M
derived; firm RAUM over IAPD count
Employees
36
18 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
9
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$4.9B as of Jul 30, 2026
Mar 21, 2012$268M then
HNW client RAUM$2.6B as of Jul 30, 2026
Mar 30, 2018$1.3B then
State-registered IARs (5.B.3)15 as of Jul 30, 2026
Mar 21, 20120 then
Employees (5.A)36 as of Jul 30, 2026
Mar 26, 201311 then
Private funds9 as of Jul 30, 2026
Mar 29, 20232 then
RAUM +6.4% over the last fiscal year+16% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $324MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.3MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 3.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $2.0B, 292 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$2.6B54%
- Charitable organizations$1.6B34%
- Corporations and businesses$320M6.6%
- Pooled investment vehicles$255M5.3%
- Individuals$44.1M0.9%
- Individual clients
- 130reported
- HNW clients
- 254reported
- Pension plan clients
- n/areported
- Charitable clients
- 19reported
- Accounts
- 1,616reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 292 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.55 fund_share=0.05 institutional_share=0.34 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Gwyn JordanChartered Financial Analyst | Richmond, Va | Oct 9, 2012 | 31 y | 1 |
| Charles Thomas HillCertified Financial Planner | Richmond, Va | Mar 12, 2013 | 21 y | 0 |
| Delores Ann RemoCertified Financial Planner | Richmond, Va | Mar 19, 2013 | 29 y | 2 |
| Marshall Ogden ChambersCertified Financial Planner, Chartered Financial Analyst | Richmond, Va | Aug 12, 2013 | 19 y | 0 |
| Caroline Elizabeth BaronianChartered Financial Analyst | Richmond, Va | Aug 30, 2018 | 10 y | 0 |
| Sarah Christine SimmerCertified Financial Planner | Wexford, Pa | Jul 11, 2019 | 14 y | 0 |
| Daniel Albert Rowe | Richmond, Va | Feb 6, 2020 | 14 y | 2 |
| Kaitlyn Jo Kocuba | Richmond, Va | Sep 1, 2021 | 10 y | 2 |
| Meagan Elizabeth Roberts | Richmond, Va | Dec 13, 2021 | 12 y | 0 |
| Steven Coles HendersonChartered Financial Analyst | Richmond, Va | Aug 23, 2022 | 33 y | 0 |
| Aaron Marten Zitalone | Richmond, Va | Feb 28, 2023 | 10 y | 2 |
| Jason Ryan BarberaChartered Financial Analyst | Richmond, Va | Mar 5, 2025 | 10 y | 1 |
| Wesley Clark Cullinane | Richmond, Va | Jun 3, 2026 | 14 y | 0 |
| Zuzanna Kaczmarek | Richmond, Va | Jun 12, 2026 | 12 y | 0 |
| Mikai Evan Thomas | Wexford, Pa | Aug 17, 2026 | 20 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 6.7% of current headcount2 left over 36 months
Left, latest
- Sara Frazier Gochenour to Salomon And LudwinMay 4, 2026 · RIA to RIA
- Charlotte N Fox to MML Investors Services, LLCJan 5, 2024 · RIA to affiliated broker-dealer or bank
- Robert Joseph Palmer to Newedge AdvisorsJan 13, 2023 · RIA to affiliated broker-dealer or bank
- Edward H Phillips to Thirdline Capital Management LLCFeb 10, 2022 · Other
- Joshua Ryan Togger to Cresset Asset Management, LLCJul 14, 2021 · RIA to RIA
- Dennis T Song to Advisory Services NetworkFeb 9, 2021 · RIA to RIA
- Jonathan Michael Fortin to Mariner WealthAug 7, 2020 · Other
- Jeffrey M Law to Td Ameritrade, Inc.Jul 13, 2018 · Other
- Teague Regan Avey to Brown AdvisoryJan 11, 2017 · Other
- Daniel Fralin Powell to Wilbanks, Smith & Thomas Asset Management, LLCMar 24, 2016 · Other
- Matthew Tyler Williams to Acima Private Wealth LLCMar 24, 2016 · Other
- Margaret J Smith to Canal Capital Management, LLCFeb 19, 2014 · Other
- Philip James Wallin to Verus Financial PartnersJul 22, 2013 · Other
Joined, latest
- Mikai Evan Thomas from Elevate Financial Planning And Wealth ManagementAug 17, 2026 · RIA to RIA
- Sara Frazier Gochenour from Nasdaq Dorsey WrightJul 7, 2025 · RIA to RIA
- Jason Ryan Barbera from Equilibrium Ventures, LLCMar 5, 2025 · RIA to RIA
- Aaron Marten Zitalone from Raymond James & Associates, Inc.Feb 28, 2023 · Affiliated broker-dealer or bank to independent RIA
- Robert Joseph Palmer from Hefren-Tillotson, Inc.Apr 4, 2022 · RIA to RIA
- Charlotte N Fox from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 10, 2022 · Wirehouse to independent RIA
- Kaitlyn Jo Kocuba from Hefren-Tillotson, Inc.Sep 1, 2021 · RIA to RIA
- Daniel Albert Rowe from Cetera Investment Advisers LLCFeb 6, 2020 · Affiliated broker-dealer or bank to independent RIA
- Jonathan Michael Fortin from FirstrustFeb 15, 2019 · Other
- Joshua Ryan Togger from Northwestern Mutual Investment Services,LLCDec 6, 2018 · Other
- Jeffrey M Law from Charles Schwab & Co., Inc.Mar 30, 2018 · Affiliated broker-dealer or bank to independent RIA
- Daniel Fralin Powell from Godsey & Gibb Wealth ManagementFeb 5, 2014 · Other
- Matthew Tyler Williams from Rtd Financial Advisors IncSep 6, 2013 · Other
- Delores Ann Remo from Cary Street PartnersMar 19, 2013 · Other
- John Gwyn Jordan from Eagle Asset Management IncOct 9, 2012 · Other
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ma Endowment Partners, LP | Other Private Fund | $75.7M | 8 | Mar 22, 2012 |
| Ma Partners Fund, LPno longer reported | Other Private Fund | $57.0M | 12 | Mar 22, 2012 |
| Heritage Private Fund LP Series 1 | Other Private Fund | $50.1M | 35 | Mar 29, 2023 |
| Heritage Private Fund LP Series 1b | Other Private Fund | $47.5M | 15 | Mar 29, 2023 |
| Heritage Private Fund LP Series 2 | $34.2M | 37 | Jul 30, 2026 | |
| Heritage Private Fund LP Series 2b | $33.0M | 10 | Jul 30, 2026 | |
| Ma Real Assets Fund 2, LP | Other Private Fund | $12.1M | 24 | Mar 22, 2012 |
| Ma Investors Fund 1, LLC | Other Private Fund | $2.8M | 6 | Mar 22, 2012 |
| Ma Resources Fund 1, LPno longer reported | Other Private Fund | $156,466 | 20 | Mar 22, 2012 |
| Heritage Private Fund LP Series 3 | $0 | 13 | Jul 30, 2026 | |
| Heritage Private Fund LP Series 3b | $0 | 6 | Jul 30, 2026 |
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Caroline Baronian · Director Of Investmentscontrolsince 01/2019 · owns 5% to 10%
- Ogden Marshall Chambers · Director Of Client Strategy And Development Compliance Officer And Managing Director Investmentscontrolsince 01/2011 · owns 5% to 10%
- Frazier Sara Gochenour · Chief Operating Officercontrolsince 03/2024 · owns less than 5%
- Thomas Charles Hill · Chief Financial Officer And Senior Wealth Advisorcontrolsince 01/2006 · owns 10% to 25%
- Gwyn John Jordan · Chief Investment Officercontrolsince 10/2012 · owns 10% to 25%
- Marie Tina Leiter · Chief Compliance Officer And Chief Administrative Officercontrolsince 03/2024 · owns less than 5%
- Ann Delores Remo · Chief Executive Officer And Managing Directorcontrolsince 09/2005 · owns 10% to 25%
- Elizabeth Meagan Roberts · Managing Director Of Financial Planning And Taxcontrolsince 01/2025 · owns less than 5%
- Christine Sarah Simmer · Managing Director Of Client Experiencecontrolsince 01/2022 · owns 5% to 10%
- Ann Delores Remo · Managing Membercontrolsince 07/2021 · owns 50% to 75% of Remo Heritage Venture, LLC
- Frank James Remo · Membercontrolsince 07/2021 · owns 50% to 75% of Remo Heritage Venture, LLC
- Coles Steven Henderson · Managing Director Of Private Investments And Foundation Strategiessince 01/2025 · owns less than 5%
Entity owners
- Remo Heritage Venture, LLC · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Heritage Pf Gp LLCpooled vehicle sponsory
- Ma Investors Management LLCpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 15 | 3 | 1 | ||
| Wexford, Pa | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sewickley, PA4 employees
- Charlottesville, VA2 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 30, 2026Remo, James, Frank (MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 30, 2026Roberts, Meagan, Elizabeth (MANAGING DIRECTOR OF FINANCIAL PLANNING AND TAX) appeared on Schedule A between the filings of 2024-03-27 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 30, 2026LEITER, TINA, MARIE (CHIEF COMPLIANCE OFFICER AND CHIEF ADMINISTRATIVE OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 30, 2026GOCHENOUR, SARA, FRAZIER (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 30, 2026BARONIAN, CAROLINE, ELIZABETH (DIRECTOR OF INVESTMENTS) left Schedule A between the filings of 2024-03-27 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 30, 2026JORDAN, JOHN, GWYN (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Private funds · 7 to 9Mar 27, 2026 to May 1, 2026
- Accounts · 1,623 to 1,616Nov 7, 2025 to Mar 27, 2026
- Advisory employees · 17 to 18Nov 7, 2025 to Mar 27, 2026
- Charity clients · 17 to 19Nov 7, 2025 to Mar 27, 2026
- Corporate clients · 34 to 41Nov 7, 2025 to Mar 27, 2026
- HNW clients · 234 to 254Nov 7, 2025 to Mar 27, 2026
- Individual clients · 131 to 130Nov 7, 2025 to Mar 27, 2026
- Pooled vehicle clients · 8 to 7Nov 7, 2025 to Mar 27, 2026
- Assets in custody · $3.0B to $2.0BNov 7, 2025 to Mar 27, 2026
- Private funds · 8 to 7Nov 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $4.5B to $4.7BNov 7, 2025 to Mar 27, 2026
- HNW RAUM · $2.7B to $2.6BNov 7, 2025 to Mar 27, 2026
- Individual RAUM · $47.7M to $44.1MNov 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $116M to $153MNov 7, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $166M to $255MNov 7, 2025 to Mar 27, 2026
- RAUM · $4.6B to $4.9BNov 7, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to 251-500Apr 3, 2025 to Jul 23, 2025
- Accounts · 1,493 to 1,623Sep 30, 2024 to Apr 3, 2025
- Advisory employees · 18 to 17Sep 30, 2024 to Apr 3, 2025
- Charity clients · 21 to 17Sep 30, 2024 to Apr 3, 2025
- Corporate clients · 28 to 34Sep 30, 2024 to Apr 3, 2025
- HNW clients · 220 to 234Sep 30, 2024 to Apr 3, 2025
- Individual clients · 135 to 131Sep 30, 2024 to Apr 3, 2025
- Pooled vehicle clients · 7 to 8Sep 30, 2024 to Apr 3, 2025
- Assets in custody · $2.9B to $3.0BSep 30, 2024 to Apr 3, 2025
- Employees · 35 to 36Sep 30, 2024 to Apr 3, 2025
- State-registered IARs · 17 to 15Sep 30, 2024 to Apr 3, 2025
- Other offices · 2 to 3Sep 30, 2024 to Apr 3, 2025
- Private funds · 7 to 8Sep 30, 2024 to Apr 3, 2025
- Discretionary RAUM · $3.7B to $4.5BSep 30, 2024 to Apr 3, 2025
- HNW RAUM · $2.4B to $2.7BSep 30, 2024 to Apr 3, 2025
- Individual RAUM · $50.5M to $47.7MSep 30, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $285M to $116MSep 30, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $228M to $166MSep 30, 2024 to Apr 3, 2025
- RAUM · $4.0B to $4.6BSep 30, 2024 to Apr 3, 2025
- Accounts · 1,345 to 1,493Nov 7, 2023 to Mar 27, 2024
- Charity clients · 15 to 21Nov 7, 2023 to Mar 27, 2024
- Corporate clients · 18 to 28Nov 7, 2023 to Mar 27, 2024
- HNW clients · 204 to 220Nov 7, 2023 to Mar 27, 2024
- Individual clients · 119 to 135Nov 7, 2023 to Mar 27, 2024
Signals
10 dated events
- Sara Frazier Gochenour left Heritage Wealth Advisors for Salomon And Ludwin (registered 2026-05-19)May 4, 2026 · Advisor changed firm · fact
- Heritage Wealth Advisors reported RAUM $4.0B, up 30% from $3.1B (2023-11-07 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Marie Tina Leiter (Chief Compliance Officer And Chief Administrative Officer) appeared on Schedule A of Heritage Wealth AdvisorsMar 27, 2024 · Control person joined · fact
- Frazier Sara Gochenour (Chief Operating Officer) appeared on Schedule A of Heritage Wealth AdvisorsMar 27, 2024 · Control person joined · fact
- Charlotte N Fox left Heritage Wealth Advisors for Mml Investors Services, Llc (registered 2024-01-16)Jan 5, 2024 · Advisor changed firm · fact
- Robert Joseph Palmer left Heritage Wealth Advisors for Newedge Advisors (registered 2023-02-13)Jan 13, 2023 · Advisor changed firm · fact
- Frank James Remo (Member) appeared on Schedule A of Heritage Wealth AdvisorsAug 22, 2022 · Control person joined · fact
- Edward H Phillips left Heritage Wealth Advisors for Thirdline Capital Management Llc (registered 2022-04-04)Feb 10, 2022 · Advisor changed firm · fact
- Heritage Wealth Advisors reported RAUM $2.3B, up 38% from $1.6B (2019-10-30 to 2020-03-04)Mar 4, 2020 · RAUM change · derived
- Heritage Wealth Advisors reported RAUM $1.4B, up 26% from $1.1B (2017-03-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Heritage Wealth Advisors · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- glau@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lsult@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mdecapito@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mhartke@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mkelly@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mlee@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mmoncure@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- njones@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- pwills@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rroane@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sporter@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tdavis@heritagewealth.netreportedpublished by the firm, firm site, Sep 15, 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
- $324Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026