DIRECTORY OF REGISTERED ADVISORS
National Coverage
Local Professionals
Woodbridge, CT 06525
203-389-3553
About Heritage Capital, LLC
Heritage Capital, LLC is an award-winning personal investment management firm dedicated to
growing your portfolio and protecting your assets as we work as a team to achieve your lifetime
financial goals. With a focus on long-term planning for your comfortable retirement and your
family's education needs, we provide you the peace of mind that comes from entrusting your
financial future to experienced, educated, and trustworthy professionals.
See Disclosures
General Information
Firm Start Year
2003
No. of Employees
2-4
CRD#
2241878
Firm CRD#
127650
Name of Custodial Firm
Axos Advisor Services
Years of Experience in Financial Services
37
Number of Years with Current Firm
22
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Investment Advice & Management, Financial Advice & Consulting, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Tax Advice and Services, Financial Planning for Businesses
Services
Investment Types
Exchange Traded Funds (ETFs), Mutual Funds, Bonds, Stocks
Can meet clients in the following ways
Our Office, Phone, Email, Your Home, Video Conference
Compliance
Registered Investment Advisor
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
AIF®
Firm Information
Advisor's Number of Clients
141
Advisor's Number of Managed Clients
141
Advisor's Number of Planning Clients
68
Total Assets Under Management by Advisor
$135,000,000
Compensation and Fees
Fee Structure
Fee-Only
Minimum Portfolio Size for New Managed Accounts
$500,000
Compensation Methods
Based on Assets, Hourly
Fee % Based on Assets
1%-2%
Hourly Rate
$300
Education
Bachelor of Arts - Political Science
University of Rochester
9/1/1984 -5/10/1988
BA Political Science -
University of Rochester
-
Disclosures
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Additional Detailed Disclosures
https://www.financialadvisor.net/disclosure/1886604/financialadvisor-Heritage-Capital,-LLC-detailed-disclosure.html