Heritage Wealth Management, Inc.
- Regulatory AUM
- $358M
- Discretionary
- $357M
- Clients
- 218
- Avg AUM / client
- $1.6M
- Accounts
- 803
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Feb 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 107 | $58.3M | 16.3% |
| High net worth individuals | 111 | $299M | 83.7% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brett Stephen Carleton | President/Chief Compliance Officer | CFP Chartered Financial Consultant | Oct 2002 (24y) | 75% or more |
| Ian Andrew Harris | Financial Planner | CFP | Aug 2012 (14y) | Less than 5% |
| Robert Anthony Rizarri | Registered representative | Jan 2019 (8y) | ||
| Robert Boyd Dwyer | Registered representative | CFP | Dec 2023 (3y) | |
| Nathan Wayne Burleson | Registered representative | CFP | May 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 02/19/2026 | 899 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Brokerage Services $357M (100% of AUM) Feb 2026
- Fidelity Distributors Company Llc $177M (96% of AUM) Mar 2021
- Fidelity Investments Institutional Services Company, Inc. $125M (94% of AUM) Aug 2019
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: Feb 19, 2026.
View current Form ADV (SEC/IAPD) ↗