SourcingSourcing

HERITAGE FAMILY OFFICES, LLP

C44
CRD 323930·SEC 801-126899·SCOTTSDALE, AZ
AUM
$423.3M
$100M-$500M
Est. Revenue
$4.2M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HERITAGE FAMILY OFFICES, LLP
CRD
323930
SEC file #
801-126899
EIN
831661030
DBA names
—

Economics

AUM
$423.3M
AUM band
$100M-$500M
AUM trajectory
'25'26
$408.1M → $423.3M▲ +4%
Client mix
Individuals Other170
Individuals High Net Worth80

Operations

Employees (total)
13
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'23'26
2 advisors → 3 advisors▲ +50%
Primary office
SCOTTSDALE AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
03/10/2026
ADV-W filed at
—
Website
twitter.com/heritagefollp(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FROST, MICHAEL, BRENT
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
FROST, MICHAEL, BRENT
Nelson, Ralph, Erwin
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
fallback_guess:heritagefamily.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002019316
Edgar Registered
Yes
Edgar Filing Count
9
Edgar First Filing Date
2024-08-01
Edgar Last Filing Date
2026-04-08
Edgar 13f Count
8
Edgar 13f Latest AUM Estimate
Filing Date2026-04-08
Accession0002019316-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
9841 E BELL RD,STE 110SCOTTSDALE, AZ 85260
Business
9841 E BELL RD,STE 110SCOTTSDALE, AZ 85260
Edgar EIN
831661030
Edgar Recent Filings
13F-HR2026-04-08 · 0002019316-26-000002
13F-HR2026-01-12 · 0002019316-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
4927678
Trust Company Affiliate
No

People (5)

5
FROST, MICHAEL, BRENT
IAR · Direct Owner · 62.5%
4927678
Nelson, Ralph, Erwin
Direct Owner · 62.5%
6754715
BRENT JAMES EMCH
IAR
6194908
TYLER ROBERT KARL
IAR
6331334
BRIAN LOUIS BOLL
IAR
2897355