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••••••• W••••• A•••••••
Legal name H••••••• W••••• M••••••••• I•••
Latest filing Aug 3, 2026
First filing on the tape May 28, 2021 · 17 filings
SEC status approved since Jul 15, 2021
RAUM
$605M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$605M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$202M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$605M as of Aug 3, 2026
Feb 1, 2022$404M then
HNW client RAUM$562M as of Aug 3, 2026
Feb 1, 2022$379M then
State-registered IARs (5.B.3)0 as of Aug 3, 2026
Feb 1, 20220 then
Employees (5.A)6 as of Aug 3, 2026
Feb 1, 20225 then
Private funds: no history
RAUM +9.5% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $202MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $646,721derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $73.0M, 58 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$562M93%
- Individuals$42.2M7.0%
- Individual clients
- 79reported
- HNW clients
- 122reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 935reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.0M for 58 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• C•••••• M•••••••Certified Financial Planner | Cincinnati, Oh | Jul 26, 2021 | 13 y | 2 |
| D•••• K••• H•••••••Certified Financial Planner | Cincinnati, Oh | Jul 26, 2021 | 28 y | 2 |
| J•••••• P• T•••••••Certified Financial Planner | Cincinnati, Oh | Jul 27, 2021 | 11 y | 2 |
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•••••• P• T••••••• from R•••••• J•••• • A••••••••• I•••Jul 27, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••••• C•••••• M••••••• from R•••••• J•••• • A••••••••• I•••Jul 26, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• K••• H••••••• from R•••••• J•••• • A••••••••• I•••Jul 26, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• • A••••••••• I•••Aug 5, 2021 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• D••••• K••• · Presidentcontrolsince 04/2021 · owns 75% or more
- M•••••••• L••••••• C•••••• · Financial Advisorsince 04/2021 · owns 5% to 10%
- O•••••• T••••• M••••••• · Chief Compliance Officersince 12/2023 · owns less than 5%
- T•••••••• J••••••• P• · Financial Advisorsince 04/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 798 to 935Mar 28, 2025 to Mar 17, 2026
- Charity clients · 2.0 to unsetMar 28, 2025 to Mar 17, 2026
- HNW clients · 105 to 122Mar 28, 2025 to Mar 17, 2026
- Individual clients · 96 to 79Mar 28, 2025 to Mar 17, 2026
- Assets in custody · unset to 72994281.0Mar 28, 2025 to Mar 17, 2026
- Custody of client assets · false to trueMar 28, 2025 to Mar 17, 2026
- Discretionary RAUM · $477M to $504MMar 28, 2025 to Mar 17, 2026
- HNW RAUM · $495M to $562MMar 28, 2025 to Mar 17, 2026
- Individual RAUM · $56.4M to $42.2MMar 28, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $75.2M to $101MMar 28, 2025 to Mar 17, 2026
- RAUM · $552M to $605MMar 28, 2025 to Mar 17, 2026
- Accounts · 842 to 798Jun 24, 2024 to Mar 28, 2025
- Charity clients · 1 to 2Jun 24, 2024 to Mar 28, 2025
- HNW clients · 110 to 105Jun 24, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 1-10Jun 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $449M to $477MJun 24, 2024 to Mar 28, 2025
- HNW RAUM · $455M to $495MJun 24, 2024 to Mar 28, 2025
- Individual RAUM · $40.7M to $56.4MJun 24, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $47.8M to $75.2MJun 24, 2024 to Mar 28, 2025
- RAUM · $496M to $552MJun 24, 2024 to Mar 28, 2025
- Accounts · 950 to 842Apr 12, 2023 to Mar 26, 2024
- Advisory activities · 3 to 4Apr 12, 2023 to Mar 26, 2024
- HNW clients · 95 to 110Apr 12, 2023 to Mar 26, 2024
- Individual clients · 103 to 96Apr 12, 2023 to Mar 26, 2024
- Employees · 5 to 6Apr 12, 2023 to Mar 26, 2024
- Financial planning clients · 11-25 to 0Apr 12, 2023 to Mar 26, 2024
- Organization form · Limited Liability Company to CorporationApr 12, 2023 to Mar 26, 2024
- Discretionary RAUM · $395M to $449MApr 12, 2023 to Mar 26, 2024
- HNW RAUM · $402M to $455MApr 12, 2023 to Mar 26, 2024
- Individual RAUM · $50.0M to $40.7MApr 12, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $56.9M to $47.8MApr 12, 2023 to Mar 26, 2024
- RAUM · $452M to $496MApr 12, 2023 to Mar 26, 2024
- Advisory activities · 2 to 3Nov 7, 2022 to Feb 25, 2023
- HNW clients · 121 to 95Nov 7, 2022 to Feb 25, 2023
- Individual clients · 68 to 103Nov 7, 2022 to Feb 25, 2023
- Financial planning clients · 0 to 11-25Nov 7, 2022 to Feb 25, 2023
- Discretionary RAUM · $404M to $395MNov 7, 2022 to Feb 25, 2023
- HNW RAUM · $379M to $402MNov 7, 2022 to Feb 25, 2023
- Individual RAUM · $24.6M to $50.0MNov 7, 2022 to Feb 25, 2023
- Non-discretionary RAUM · $0 to $56.9MNov 7, 2022 to Feb 25, 2023
Signals
1 dated events
- H••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)May 28, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@yourheritageadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 513-440-5057reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 513-440-5327reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/heritagewealthadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- yourheritageadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-440-5475reportedpublic record, Form ADV, Aug 3, 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
- $202Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026