Heaphy Investments, Llc
- Regulatory AUM
- $67.2M
- Discretionary
- $67.2M
- Clients
- 99
- Avg AUM / client
- $679K
- Accounts
- 213
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 83 | $20.2M | 30.0% |
| High net worth individuals | 16 | $46.1M | 68.6% |
| Charitable organizations | Fewer than 5 clients | $918K | 1.37% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Edward Thomas Heaphy | Manager | Sep 2009 (17y) | 25% – 50% | |
| Lois Jean Heaphy | Member/Chief Compliance Officer | Sep 2009 (17y) | 75% or more |
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) | 03/11/2026 | 1.07 MB | 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
- • Fixed fees
- • Other fees
- • MINIMUM ANNUAL FEE OF $1,000
Services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $63.5M (95% of AUM) Mar 2026
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 11, 2026.
View current Form ADV (SEC/IAPD) ↗