{ "crd_number": 134578, "slug": "heaton-financial-pc-cedar-city-ut-134578", "primary_business_name": "HEATON FINANCIAL, PC", "legal_name": "HEATON FINANCIAL, PC", "dbas": [], "city": "Cedar City", "state": "UT", "country": "United States", "cbsa_code": "16260", "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2026-08-06", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-08-13", "carried_forward": false, "raum_total": 140139000.0, "raum_discretionary": 132079000.0, "raum_non_discretionary": 8060000.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 62864000.0, "count": 301 }, "high_net_worth_individuals": { "raum": 74647000.0, "count": 31 }, "corporations_other_businesses": { "raum": 2628000.0, "count": 4, "fewer_than_5": true } }, "compensation_types": [ "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "TX", "UT" ], "websites": [ "https://facebook.com/HEATONFINANCIAL", "https://heatonfinancial.com", "https://twitter.com/HEATONFINANCE", "https://youtube.com/CHANNEL/UCJEVWF-TCU1JE0SSGCBYMYQ" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134578", "city_as_filed": "CEDAR CITY", "url": "https://advisorcensus.com/firm/heaton-financial-pc-cedar-city-ut-134578", "display_name": "Heaton Financial, PC", "summary": "Heaton Financial, PC is an SEC-registered investment advisory firm in Cedar City, UT, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 13, 2026.", "citation": "AdvisorCensus. Heaton Financial, PC (CRD 134578): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Heaton Financial, PC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Heaton Financial, PC reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Heaton Financial, PC located?", "a": "Heaton Financial, PC's principal office is in Cedar City, UT, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Heaton Financial, PC registered with the SEC or a state?", "a": "Heaton Financial, PC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 134578." }, { "q": "How much does Heaton Financial, PC manage?", "a": "Heaton Financial, PC reports $140,139,000 in regulatory assets under management in its Form ADV filing dated August 13, 2026 (94% discretionary)." }, { "q": "What types of clients does Heaton Financial, PC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (301); high net worth individuals (31); corporations or other businesses not listed above (4)." }, { "q": "Which custodians does Heaton Financial, PC use?", "a": "Heaton Financial, PC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Heaton Financial, PC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/134578" }, { "q": "What changed in Heaton Financial, PC's recent Form ADV filings?", "a": "In the September 2026 filing data: Newly registered with the SEC." } ], "filing_history": [], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/heaton-financial-pc-cedar-city-ut-134578.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 301, "fewer_than_5": false, "raum": 62864000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 31, "fewer_than_5": false, "raum": 74647000.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 4, "fewer_than_5": true, "raum": 2628000.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134578", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }