# Heritage Capital, LLC

> Heritage Capital, LLC is an SEC-registered investment advisory firm in Woodbridge, CT, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 6, 2026.

- CRD: 127650
- Filed as: HERITAGE CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Woodbridge, CT
- Filing period: October 2026
- Form ADV filing dated: March 6, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/127650
- AdvisorCensus page: https://advisorcensus.com/firm/heritage-capital-llc-woodbridge-ct-127650

## Quick answers

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

**Where is Heritage Capital, LLC located?**
Heritage Capital, LLC's principal office is in Woodbridge, CT, according to its Form ADV.

**Is Heritage Capital, LLC registered with the SEC or a state?**
Heritage Capital, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 127650.

**How much does Heritage Capital, LLC manage?**
Heritage Capital, LLC reports $146,923,516 in regulatory assets under management in its Form ADV filing dated March 6, 2026 (100% discretionary).

**How have Heritage Capital, LLC's assets and staff changed since 2025?**
In the Form ADV data for Heritage Capital, LLC: Regulatory assets under management: $128,908,923 in the October 2025 data and $146,923,516 in the October 2026 data, up 14%. Total employees: 3 in October 2025 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Heritage Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (78); high net worth individuals (68).

**Which custodians does Heritage Capital, LLC use?**
Heritage Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos Clearing LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Heritage Capital, LLC report any disciplinary disclosures?**
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/127650

**Does Heritage Capital, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 6, 2026 says: "Heritage Capital generally requires a $500,000 minimum asset level for investment advisory services."

**What changed in Heritage Capital, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $128,908,923 to $146,923,516 (+14%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 6, 2026)

- Account minimum: $500,000

> Heritage Capital generally requires a $500,000 minimum asset level for investment advisory services.

- Minimum annual fee: None

> The Firm does not have a minimum fee.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Axos Clearing LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $146,923,516
- Discretionary: $146,923,516
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 78 | $26,165,393 |
| High net worth individuals | 68 | $116,848,530 |
| Charitable organizations | Fewer than 5 | $3,909,593 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2025 (1 year)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, MA, NY, RI, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- investfortomorrow.com
- Facebook @heritagecapital
- Facebook @paulschatz2
- LinkedIn @paul-schatz-24578
- X @Paul_Schatz
- YouTube @heritagecapital3872

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $128,908,923 | 3 | April 15, 2025 |
| October 2026 | $146,923,516 | 3 | March 6, 2026 |

Regulatory assets under management: $128,908,923 in the October 2025 data and $146,923,516 in the October 2026 data, up 14%.
Total employees: 3 in October 2025 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $128,908,923 to $146,923,516 (+14%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Heritage Capital, LLC (CRD 127650): Form ADV filing data as of October 2026.