Heritage Wealth Management, Inc.
● SEC registered since 2016CRD 122394SEC# 801-107506Houston, TX
Reg. AUM
$357.8M
Employees
6
Accounts
803
Location
Houston, TX
Heritage Wealth Management, Inc. assets under management
Heritage Wealth Management, Inc. operates as an SEC-registered investment adviser based in Houston, TX. The firm has been registered since 2016. It reports $357.8 million in regulatory assets under management and employs 6 people.
Heritage Wealth Management, Inc. owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Brett Stephen Carleton Control | President/Chief Compliance Officer | Over 75% | 2012 |
| Ian Andrew Harris | Financial Planner | Under 5% | 2012 |
| Robert Boyd Dwyer | Advisor | 5-10% | 2023 |
Frequently asked questions
How much does Heritage Wealth Management, Inc. manage?
Heritage Wealth Management, Inc. reports $357.8 million in regulatory assets under management on its Form ADV.
How many employees does Heritage Wealth Management, Inc. have?
Heritage Wealth Management, Inc. reports 6 employees.
Where is Heritage Wealth Management, Inc. located?
Heritage Wealth Management, Inc. is based in Houston, TX and has been SEC-registered since 2016.
Does Heritage Wealth Management, Inc. disclose fund performance?
Heritage Wealth Management, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 4400 Post Oak Parkway, Suite 2510, Houston, TX 77027 |
| Phone | 713-871-9800 |
| Fax | 713-871-0713 |
| Office hours | 9:00 a.m.-5:00 p.m. |
| SEC region | Fort Worth Regional Office (FWRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$357.8M▲ 14%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 57%
Larger than 43% of 16,271 advisers
EmployeesTop 56%
More than 44% of 16,825 advisers
Assets under management
$357.8Mregulatory AUM
Discretionary $357.1MNon-discretionary $734K