# Heritage Asset Managers, Inc.

> Heritage Asset Managers, Inc. is a state-registered investment advisory firm, registered since 2005, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 134955
- Filed as: HERITAGE ASSET MANAGERS, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/134955
- AdvisorCensus page: https://advisorcensus.com/firm/heritage-asset-managers-inc-134955

## Quick answers

**How is Heritage Asset Managers, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Heritage Asset Managers, Inc. reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Heritage Asset Managers, Inc. registered with the SEC or a state?**
Heritage Asset Managers, Inc. is a state-registered investment advisory firm, registered since 2005. Status as filed: APPROVED. CRD 134955.

**How much does Heritage Asset Managers, Inc. manage?**
Heritage Asset Managers, Inc. reports $83,386,690 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (37% discretionary).

**What types of clients does Heritage Asset Managers, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (16); individuals (other than high net worth individuals) (13); corporations or other businesses not listed above (2).

**Does Heritage Asset Managers, Inc. report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/134955

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $83,386,690
- Discretionary: $31,109,125
- Non-discretionary: $52,277,565

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 13 | $7,143,494 |
| High net worth individuals | 16 | $72,930,543 |
| Charitable organizations | 1 | $2,417,024 |
| Corporations or other businesses not listed above | 2 | $895,629 |

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

### Firm details
- Registered since: 2005 (21 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, LA
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/134955

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Heritage Asset Managers, Inc. (CRD 134955): Form ADV filing data as of October 2026.