About Heritage Capital, LLC
Heritage Capital, LLC is an award-winning personal investment management firm dedicated to
growing your portfolio and protecting your assets as we work as a team to achieve your lifetime
financial goals. With a focus on long-term planning for your comfortable retirement and your
family's education needs, we provide you the peace of mind that comes from entrusting your
financial future to experienced, educated, and trustworthy professionals.
See Disclosures
General Information
Firm Start Year
2003
No. of Employees
2-4
CRD#
2241878
Firm CRD#
127650
Name of Custodial Firm
Axos Advisor Services
Years of Experience in Financial Services
37
Number of Years with Current Firm
22
Work with the following types of clients
Individual Investors, Non-Profit Organizations, Businesses
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Education Funding and Planning
Compliance
Registered Investment Advisor
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
AIF®
Firm Information
Advisor's Number of Clients
141
Advisor's Number of Managed Clients
141
Advisor's Number of Planning Clients
68
Assets Managed by Advisor
$135,000,000
Compensation and Fees
Fee Structure
Fee-Only
Minimum Portfolio Size for New Managed Accounts
$500,000
Compensation Methods
Based on Assets, Hourly
Fee % Based on Assets
1%-2%
Hourly Rate
$300
Education
BA Political Science -
University of Rochester
-
Bachelor of Arts - Political Science
University of Rochester
9/1/1984 -5/10/1988
Disclosures
Additional Detailed Disclosures
https://www.financialplanners.net/disclosure/1886604/financialplanners-Heritage-Capital,-LLC-detailed-disclosure.html