# Heffernan & Associates, Inc.

> Heffernan & Associates, Inc. is a state-registered investment advisory firm in St Louis, MO, registered since 2003, reporting under $25 million in regulatory assets under management in its Form ADV filing dated February 26, 2026.

- CRD: 104934
- Filed as: HEFFERNAN & ASSOCIATES, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: St Louis, MO
- Filing period: October 2026
- Form ADV filing dated: February 26, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/104934
- AdvisorCensus page: https://advisorcensus.com/firm/heffernan-and-associates-inc-st-louis-mo-104934

## Quick answers

**How is Heffernan & Associates, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Heffernan & Associates, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is Heffernan & Associates, Inc. located?**
Heffernan & Associates, Inc.'s principal office is in St Louis, MO, according to its Form ADV.

**Is Heffernan & Associates, Inc. registered with the SEC or a state?**
Heffernan & Associates, Inc. is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 104934.

**How much does Heffernan & Associates, Inc. manage?**
Heffernan & Associates, Inc. reports $18,713,500 in regulatory assets under management in its Form ADV filing dated February 26, 2026 (0% discretionary).

**What types of clients does Heffernan & Associates, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (13); high net worth individuals (7).

**Does Heffernan & Associates, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/104934

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $18,713,500
- Discretionary: $0
- Non-discretionary: $18,713,500

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 13 | $3,875,700 |
| High net worth individuals | 7 | $14,837,800 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Other

### Firm details
- Registered since: 2003 (23 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MO
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Heffernan & Associates, Inc. (CRD 104934): Form ADV filing data as of October 2026.