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••••••• S•••••••• W•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 13, 2025 · 2 filings
SEC status approved since Sep 3, 2025
RAUM
$45.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$45.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$45.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$45.7M as of Mar 30, 2026
Aug 13, 2025$0 then
HNW client RAUM: $41.6M
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Aug 13, 20250 then
Employees (5.A)3 as of Mar 30, 2026
Aug 13, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- $45.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $41.6MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$41.6M91%
- Individuals$3.5M7.6%
- Corporations and businesses$645,1811.4%
- Individual clients
- 24reported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- B•••• W•••••• A••••• from W••••• B•••••• F•••• L••Sep 3, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• B••••• W•••••• · Managing Membercontrolsince 07/2025 · owns 75% or more
- C••••••••• M•••• · Chief Compliance Officersince 07/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 27Aug 13, 2025 to Mar 30, 2026
- Advisory employees · 1 to 2Aug 13, 2025 to Mar 30, 2026
- BD registered reps · 1 to 0Aug 13, 2025 to Mar 30, 2026
- Corporate clients · unset to 2.0Aug 13, 2025 to Mar 30, 2026
- HNW clients · unset to 1.0Aug 13, 2025 to Mar 30, 2026
- Individual clients · unset to 24.0Aug 13, 2025 to Mar 30, 2026
- Employees · 1 to 3Aug 13, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 1Aug 13, 2025 to Mar 30, 2026
- Other offices · 0 to 1Aug 13, 2025 to Mar 30, 2026
- Discretionary RAUM · $0 to $45.7MAug 13, 2025 to Mar 30, 2026
- HNW RAUM · unset to 41628941.0Aug 13, 2025 to Mar 30, 2026
- Individual RAUM · unset to 3458650.0Aug 13, 2025 to Mar 30, 2026
- RAUM · $0 to $45.7MAug 13, 2025 to Mar 30, 2026
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
- 815-200-9774reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- heritagestrategicwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 815-200-9774reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- heritagestrategicwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- heritagestrategicwealth.com/our-teamreportedpublished 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
- Bank affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $45.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026