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
Heritage Wealth Partners, LLC
Latest filing Mar 25, 2025
First filing on the tape Oct 14, 2021 · 7 filings
SEC status approved since Nov 16, 2021
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$176M as of Mar 25, 2025
Mar 21, 2022$299M then
HNW client RAUM$66.6M as of Mar 25, 2025
Mar 21, 2022$204M then
State-registered IARs (5.B.3)4 as of Mar 25, 2025
Mar 21, 20223 then
Employees (5.A)13 as of Mar 25, 2025
Mar 21, 202210 then
Private funds: no history
RAUM +24% over the last fiscal year-16% a year over threeIARs 5 to 4offices 1 to 2
Practice profile
derived from the filing of Mar 25, 2025; every figure names its basis
- RAUM per advisor
- $44.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 231derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $128,482derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $176M, 923 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$109M62%
- High-net-worth individuals$66.6M38%
- Charitable organizations$301,1700.2%
- Individual clients
- 876reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,372reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $176M for 923 clientsreported
- 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
Left, latest
- Cortland Robert Bradbury to Private Client Services, LLCJul 10, 2025 · RIA to affiliated broker-dealer or bank
- Pei-Chin Andrew to Summit Financial, LLCJul 10, 2025 · RIA to affiliated broker-dealer or bank
- Stephen Andrew Mcbride to Private Client Services, LLCJul 10, 2025 · RIA to affiliated broker-dealer or bank
- Richard Hammons to Summit Financial, LLCJul 10, 2025 · RIA to affiliated broker-dealer or bank
- Matthew P Sands to Elevate Wealth ManagementSep 7, 2023 · RIA to a state-registered adviser
Joined, latest
- Pei-Chin Andrew from Morgan StanleyMar 21, 2022 · Wirehouse to independent RIA
- Stephen Andrew Mcbride from LPL Financial LLCNov 21, 2017 · RIA to RIA
- Cortland Robert Bradbury from LPL Financial LLCNov 15, 2017 · RIA to RIA
- Matthew P Sands from LPL Financial LLCNov 15, 2017 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Private Client Services, LLCJul 10, 2025 · Dublin, Oh
- 2 left for Summit Financial, LLCJul 10, 2025 · Dublin, Oh
- 3 joined from LPL Financial LLCNov 15, 2017 · Dublin, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ralph Matthew Keyes · Partner/Ccocontrolsince 10/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kenton, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 930 to 1,372Mar 15, 2024 to Mar 25, 2025
- Advisory employees · 5 to 4Mar 15, 2024 to Mar 25, 2025
- BD registered reps · 6 to 7Mar 15, 2024 to Mar 25, 2025
- HNW clients · 70 to 46Mar 15, 2024 to Mar 25, 2025
- Individual clients · 791 to 876Mar 15, 2024 to Mar 25, 2025
- Assets in custody · $79.6M to $176MMar 15, 2024 to Mar 25, 2025
- Employees · 12 to 13Mar 15, 2024 to Mar 25, 2025
- State-registered IARs · 5 to 4Mar 15, 2024 to Mar 25, 2025
- Other offices · 1 to 2Mar 15, 2024 to Mar 25, 2025
- Discretionary RAUM · $142M to $176MMar 15, 2024 to Mar 25, 2025
- HNW RAUM · $106M to $66.6MMar 15, 2024 to Mar 25, 2025
- Individual RAUM · $36.3M to $109MMar 15, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $468,000 to $0Mar 15, 2024 to Mar 25, 2025
- Pension RAUM · 315653.0 to unsetMar 15, 2024 to Mar 25, 2025
- RAUM · $143M to $176MMar 15, 2024 to Mar 25, 2025
- Accounts · 1,332 to 930Sep 11, 2023 to Mar 15, 2024
- BD registered reps · 4 to 6Sep 11, 2023 to Mar 15, 2024
- HNW clients · 12 to 70Sep 11, 2023 to Mar 15, 2024
- Individual clients · 527 to 791Sep 11, 2023 to Mar 15, 2024
- Assets in custody · $3 to $79.6MSep 11, 2023 to Mar 15, 2024
- Employees · 11 to 12Sep 11, 2023 to Mar 15, 2024
- Discretionary RAUM · $227M to $142MSep 11, 2023 to Mar 15, 2024
- HNW RAUM · $137M to $106MSep 11, 2023 to Mar 15, 2024
- Individual RAUM · $89.8M to $36.3MSep 11, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $0 to $468,000Sep 11, 2023 to Mar 15, 2024
- Pension RAUM · unset to 315653.0Sep 11, 2023 to Mar 15, 2024
- RAUM · $227M to $143MSep 11, 2023 to Mar 15, 2024
- Accounts · 1,200 to 1,332Mar 21, 2022 to Mar 17, 2023
- Advisory employees · 3 to 5Mar 21, 2022 to Mar 17, 2023
- HNW clients · 29 to 12Mar 21, 2022 to Mar 17, 2023
- Individual clients · 710 to 527Mar 21, 2022 to Mar 17, 2023
- Assets in custody · $2 to $3Mar 21, 2022 to Mar 17, 2023
- Employees · 10 to 11Mar 21, 2022 to Mar 17, 2023
- State-registered IARs · 3 to 5Mar 21, 2022 to Mar 17, 2023
- Discretionary RAUM · $299M to $227MMar 21, 2022 to Mar 17, 2023
- HNW RAUM · $204M to $137MMar 21, 2022 to Mar 17, 2023
- Individual RAUM · $94.9M to $89.8MMar 21, 2022 to Mar 17, 2023
- RAUM · $299M to $227MMar 21, 2022 to Mar 17, 2023
- Accounts · 700 to 1,200Oct 14, 2021 to Mar 21, 2022
- HNW clients · 25 to 29Oct 14, 2021 to Mar 21, 2022
Signals
11 dated events
- Heritage Wealth Partners, Llc no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $176.3M)Aug 1, 2025 · Left the SEC roster · derived
- Richard Hammons left Heritage Wealth Partners, Llc for Summit Financial, Llc (registered 2025-04-23)Jul 10, 2025 · Advisor changed firm · fact
- Pei-Chin Andrew left Heritage Wealth Partners, Llc for Summit Financial, Llc (registered 2025-04-23)Jul 10, 2025 · Advisor changed firm · fact
- Cortland Robert Bradbury left Heritage Wealth Partners, Llc for Private Client Services, Llc (registered 2025-05-05)Jul 10, 2025 · Advisor changed firm · fact
- Stephen Andrew Mcbride left Heritage Wealth Partners, Llc for Private Client Services, Llc (registered 2025-05-05)Jul 10, 2025 · Advisor changed firm · fact
- 2 advisors left Heritage Wealth Partners, LLC (Dublin, OH) for Private Client Services, LLC on the same dayJul 10, 2025 · Team lift-out · derived
- 2 advisors left Heritage Wealth Partners, LLC (Dublin, OH) for Summit Financial, LLC on the same dayJul 10, 2025 · Team lift-out · derived
- Matthew P Sands left Heritage Wealth Partners, Llc for Elevate Wealth Management (registered 2026-09-01)Sep 7, 2023 · Advisor changed firm · fact
- P Matthew Sands (Partner / Cco) no longer on Schedule A of Heritage Wealth Partners, Llc (listed 2023-03-17, absent 2023-09-07)Sep 7, 2023 · Control person left · inference
- Heritage Wealth Partners, Llc reported RAUM $298.9M, up 166% from $112.5M (2021-10-14 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- Heritage Wealth Partners, Llc filed its initial SEC registration (Form ADV)Oct 14, 2021 · First SEC registration · fact
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