SourcingSourcing

HERITAGE ASSET MANAGEMENT, LLC

C45
CRD 323344·SEC 801-126700·BELTON, MO
AUM
$155.0M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$465K
@ 30% margin
Est. Deal Value
$3.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HERITAGE ASSET MANAGEMENT, LLC
CRD
323344
SEC file #
801-126700
EIN
000000000
DBA names
—

Economics

AUM
$155.0M
AUM band
$100M-$500M
AUM trajectory
'25'26
$130.0M → $155.0M▲ +19%
Client mix
Individuals Other691
Individuals High Net Worth55
Charitable Organizations3

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'23'26
2 advisors → 2 advisors▬ 0%
Primary office
BELTON MO
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
01/29/2026
ADV-W filed at
—
Website
heritage-kc.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
THOMPSON, DAVID, WAYNE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
THOMPSON, DAVID, WAYNE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
HERITAGE-KC.COM
Rdap Domain Creation Date
2016-04-19T19:03:54Z
Rdap Firm Age Years
10
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
40,776
Form 5500 Compensation Trajectory 3y
202521,521
202619,255
Form 5500 Plan Count Trajectory 3y
20251
20261
Schedule C Total Compensation
40,776
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0002043004
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2024-10-31
Edgar Last Filing Date
2025-10-27
Edgar Form D Count
2
Edgar Form D Offerings
2025-10-272025-10-27 · 0002043004-25-000002
2024-10-312024-10-31 · 0002043004-24-000003

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1927
Soi Zip Pct 200k Plus
0.043
Soi Zip Returns 200k Plus
600
Soi Zip Total AGI
1,100,327
Fdic Zip Total Deposits
8,693,079,000
Fdic Zip Branch Count
190
Fdic Zip Top Banks
Bank of America, National Association
Commerce Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
1111 W. 6TH STREETBUILDING A, SUITE 400AUSTIN, TX 78703
Business
1111 W. 6TH STREETBUILDING A, SUITE 400AUSTIN, TX 78703
Edgar EIN
000000000
Edgar Recent Filings
D/A2025-10-27 · 0002043004-25-000002
D2024-10-31 · 0002043004-24-000003
Fdic Zip Branches Raw
Bank of BeltonBelton, MO
Bank 10Belton, MO
Fdic Zip HHI
1386.52
Fdic Zip Top Bank Share Pct
27.32
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-04-19T19:03:54Z
Rdap Domain Last Changed
2026-04-29T18:20:30Z
Rdap Nameservers
Ns49.domaincontrol.comNs50.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI45,025
Returns3,620
Stub 2
AGI134,034
Returns3,620
Stub 3
AGI151,008
Returns2,460
Soi Zip Total Business Income
34,380
Soi Zip Total Cap Gains
84,879
Soi Zip Total Dividends
25,703
Soi Zip Total Returns
13,960
Top Owner CRD
4440375
Trust Company Affiliate
No

People (2)

2
THOMPSON, DAVID, WAYNE
IAR · Direct Owner · 87.5%
4440375
DUSTIN ANDREW JOHNSON
IAR
5523584