{ "crd_number": 310306, "slug": "heritage-capital-advisors-llc-310306", "primary_business_name": "HERITAGE CAPITAL ADVISORS, LLC", "legal_name": "HERITAGE CAPITAL ADVISORS, LLC", "dbas": [ "HERITAGE CAPITAL RESEARCH" ], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2020-09-14", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-03-13", "carried_forward": false, "raum_total": 1255623248.0, "raum_discretionary": 1255623248.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 75.0, "count": 1 }, "investment_companies": { "raum": 1255623173.0, "count": 10 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals", "portfolio_management_investment_companies", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "CO" ], "websites": [ "https://heritagecapitalresearch.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310306", "city_as_filed": null, "url": "https://advisorcensus.com/firm/heritage-capital-advisors-llc-310306", "display_name": "Heritage Capital Advisors, LLC", "summary": "Heritage Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2020, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 13, 2026.", "citation": "AdvisorCensus. Heritage Capital Advisors, LLC (CRD 310306): 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", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Heritage Capital Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Heritage Capital Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Is Heritage Capital Advisors, LLC registered with the SEC or a state?", "a": "Heritage Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 310306." }, { "q": "How much does Heritage Capital Advisors, LLC manage?", "a": "Heritage Capital Advisors, LLC reports $1,255,623,248 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (100% discretionary)." }, { "q": "How have Heritage Capital Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Heritage Capital Advisors, LLC: Regulatory assets under management: $200,611,400 in the October 2021 data and $1,255,623,248 in the October 2026 data, up 526%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Heritage Capital Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (10); individuals (other than high net worth individuals) (1)." }, { "q": "Does Heritage Capital Advisors, LLC 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/310306" }, { "q": "What changed in Heritage Capital Advisors, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $672,468,599 to $1,255,623,248 (+87%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 200611400.0, "total_employees": 1, "filing_date": "2021-04-22" }, { "period": "2022-10-01", "regulatory_assets_under_management": 646528846.0, "total_employees": 1, "filing_date": "2022-02-14" }, { "period": "2023-10-01", "regulatory_assets_under_management": 545482843.0, "total_employees": 1, "filing_date": "2023-03-02" }, { "period": "2024-10-01", "regulatory_assets_under_management": 120000075.0, "total_employees": 1, "filing_date": "2024-04-18" }, { "period": "2025-10-01", "regulatory_assets_under_management": 672468599.0, "total_employees": 1, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1255623248.0, "total_employees": 1, "filing_date": "2026-03-13" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $672,468,599 to $1,255,623,248 (+87%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/heritage-capital-advisors-llc-310306.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1, "fewer_than_5": false, "raum": 75.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 10, "fewer_than_5": false, "raum": 1255623173.0 } ], "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/310306", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }