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HERITAGE WEALTH ADVISORS

CINCINNATI, OH · CRD 312545 · IAPD ↗ · yourheritageadvisors.com · 513-440-5475

$604.7MRegulatory AUM
3Advisory reps
6Employees
1Clients
1-10Planning clients
0Private funds
16States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
April 2026 — HERITAGE WEALTH ADVISORS now reports custody of client assets ($73.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
61
April 2025 — HERITAGE WEALTH ADVISORS reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — HERITAGE WEALTH ADVISORS crossed $500M in regulatory AUM ($496.4M -> $552.2M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
49
July 2024 — HERITAGE WEALTH ADVISORS notice-filed in MA, NC, ND.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
51
April 2024 — HERITAGE WEALTH ADVISORS notice-filed in CO, IL, MI, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.