Business Description

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. In today’s ever changing investment landscape, it’s simply not enough to create a static asset allocation and forget about it. We take a very proactive approach with your portfolio, monitoring it 24/7 and making necessary adjustments as we seek to deliver superior investment returns.

General Information

Gender:

Male

CRD#:

2241878

Firm CRD#:

127650

Name of Custodial Firm:

Ceros Financial, Rydex, Millennium Trust

States Licensed in:

CT
NY
MA

States Willing to do Business in:

ALL

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses, Non-Profit Organizations

Education

Academic Background

BA in Political Science
Certificate in Economics
University of Rochester
1988

Services

Investment Types:

Mutual Funds, Exchange Traded Funds (ETFs), Annuities, Bonds, Stocks

Qualifications & Memberships

Securities Licenses:

Series 65

Financial Organization Memberships:

Paladin Registry, National Association of Active Investment Managers

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$62,000,000

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$62,000,000

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an 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

Compensation & Fees

I am a fee-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$150,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

.50%/qtr.

Prepared By:

Paul Schatz