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HERITAGE WEALTH MANAGEMENT, INC.
CRD 316956File 801-122719
APPROVED
Retail clients
Custody
Filing as of Jun 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$643.4M
Above cohort median (national)
Discretionary AUM
$643.4M
Clients
235
226 accounts
Employees
13
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Nov 19, 2021
- Principal office
- 11440 W. BERNARDO CT., STE 390, SAN DIEGO, CA, 92127
- Phone
- 858-613-9191
- Website
- http://www.heritagealts.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $643.4M
- Discretionary AUM
- $643.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 226
- Non-discretionary accounts
- 0
- Total accounts
- 226
- AUM per client
- $2.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $16.7M |
| Insurance companies | Fewer than 5 | $41.5M |
| Charitable organizations | Fewer than 5 | $19.9M |
| High net worth individuals | 121 | $305.1M |
| Pooled investment vehicles | 8 | $209.6M |
| Individuals (other than high net worth individuals) | 103 | $50.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
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 | 9 | 13 | increased by4 |
| Apr 1, 2026 | Clients | 230 | 235 | increased by5 |
| Apr 1, 2026 | AUM | $491,221,951 | $643,361,063 | increased by$152,139,112 |
| Apr 1, 2026 | Accounts | 978 | 226 | decreased by752 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 10 | 9 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 213 | 230 | increased by17 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $213,115,340 | $491,221,951 | increased by$278,106,611 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 861 | 978 | increased by117 |
| Apr 1, 2022 | Registration | APPROVED-120 | APPROVED | |
| Apr 1, 2022 | Employees | 6 | 10 | increased by4 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | AUM | $0 | $213,115,340 | increased by$213,115,340 |
| Apr 1, 2022 | Accounts | 0 | 861 | increased by861 |
| Dec 1, 2021 | Registration | — | APPROVED-120 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HERITAGE WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HERITAGE WEALTH” 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.