The Heaton Hoppes Group, Llc
- Regulatory AUM
- $173M
- Discretionary
- $173M
- Clients
- 97
- Avg AUM / client
- $1.8M
- Accounts
- 293
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 66 | $62.5M | 36.2% |
| High net worth individuals | 26 | $87.1M | 50.5% |
| Pension and profit sharing plans | 5 | $21.7M | 12.6% |
| Corporations and other businesses | Fewer than 5 clients | $1.2M | 0.71% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Micheal Heaton | Member | Sep 2001 (25y) | 50% – 75% | |
| Karla Renee Hoppes | Chief Compliance Officer And Managing Member | CFP | Feb 2010 (16y) | 50% – 75% |
| Jake Robert Hoppes | Registered representative | Oct 2024 (2y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 983 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Other fees
- • INITIAL ADMINISTRATIVE FEE; CONTRIBUTION AND DISTRIBUTION FEE
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $72.9M (42% of AUM) Mar 2026
- Fidelity Brokerage Services $62.7M (36% of AUM) Mar 2026
- Broadridge Matrix $24.1M (16% of AUM) Mar 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗