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HERITAGE HOLDING

BOSTON, MA · CRD 331677 · IAPD ↗ · 617-938-3664

$277.7MRegulatory AUM
17Advisory reps
17Employees
0Clients
n/aPlanning clients
2Private funds
2States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

57
April 2026 — HERITAGE HOLDING grew from 13 to 17 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
January 2025 — HERITAGE HOLDING's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
50
December 2024 — HERITAGE HOLDING now reports custody of client assets ($5.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
55
December 2024 — HERITAGE HOLDING now reports 1 private fund(s) ($225.3M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
August 2024 — HERITAGE HOLDING (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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