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HEFFERNAN ADVISORY, INC.
CRD 116771File 801-67175
APPROVED
Retail clients
Custody
Filing as of Aug 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$409.6M
Below cohort median (national)
Discretionary AUM
$409.6M
Clients
357
679 accounts
Employees
12
Above cohort median in AZ
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Sep 19, 2006
- Principal office
- 809 W. RIORDAN ROAD, SUITE 104, FLAGSTAFF, AZ, 86001
- Phone
- 928-774-9598
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $409.6M
- Discretionary AUM
- $409.6M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 679
- Non-discretionary accounts
- 0
- Total accounts
- 679
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $2.9M |
| High net worth individuals | 165 | $323.1M |
| Pension and profit sharing plans | 5 | $6.1M |
| Individuals (other than high net worth individuals) | 182 | $77.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Other (described) — FIXED FEES ARE ONLY CHARGED FOR FINANCIAL PLANNING ARRANGEMENTS.
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 11 | 12 | increased by1 |
| Apr 1, 2026 | Clients | 332 | 357 | increased by25 |
| Apr 1, 2026 | AUM | $315,874,872 | $409,585,443 | increased by$93,710,571 |
| Apr 1, 2026 | Accounts | 599 | 679 | increased by80 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 376 | 332 | decreased by44 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $318,586,684 | $315,874,872 | decreased by$2,711,812 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 681 | 599 | decreased by82 |
| Mar 1, 2022 | Clients | 362 | 376 | increased by14 |
| Mar 1, 2022 | AUM | $257,576,137 | $318,586,684 | increased by$61,010,547 |
| Mar 1, 2022 | Accounts | 749 | 681 | decreased by68 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HEFFERNAN ADVISORY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HEFFERNAN ADVISORY” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.