{"url":"https://nivawealth.com/firms/heritage-wealth-management-159158","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159158","regulatoryAum":153221579,"crd":"159158","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1601776","suffix":null,"lastName":"Horgan","firstName":"Katherine","middleName":"Salome"},{"crd":"2656617","suffix":null,"lastName":"SERRATORE","firstName":"VINCENT","middleName":null}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-06-25","regulatoryAum":118313865,"clients":195,"employees":2,"offices":3},{"filedOn":"2026-08-04","regulatoryAum":153221579,"clients":218,"employees":2,"offices":3}],"secFileNumber":"801-132674","legalName":"Heritage Wealth Management, Inc.","displayName":"Heritage Wealth Management","slug":"heritage-wealth-management-159158","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/3632542/","founded":null,"organization":"Massachusetts corporation","fiscalYearEnd":"December","headquarters":{"street":"100 Trade Center Drive, Suite G-700","city":"Woburn","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"01801"},"tradeNames":[],"registration":{"secApproved":"30 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":706107.265116279,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":153221579,"discretionary":153221579,"discretionaryAccounts":369,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":133,"regulatoryAum":37825949},{"label":"High-net-worth individuals","clients":82,"regulatoryAum":113987113},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":1176551},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":231966}],"feePrograms":[{"role":"other","program":"Consulting","summary":"Consulting is billed at $400 per hour or as a fixed fee of $5,000 to $25,000, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053883","versionId":1053883,"submittedOn":"2026-08-04","documentName":"HWM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:24:46.863029+00:00","documents":[{"name":"HWM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053883","versionId":1053883,"submittedOn":"2026-08-04"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":153221579}],"custodyNote":"Heritage Wealth Management has custody of $66M for 89 clients.","otherCustodians":[],"leadership":[{"name":"Katherine Horgan","title":"Senior Managing Principal/CIO","crd":"1601776"},{"name":"Vincent Serratore","title":"Senior Managing Director, CCO","crd":"2656617"}],"ownership":[{"label":"Vincent Serratore","detail":"Senior managing director, cco in the 75% or more ownership band and a control person, since November 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":2,"addresses":[{"street":"100 Trade Center Drive, Suite G-700","city":"Woburn","headquarters":true},{"street":"75 Second Avenue","city":"Needham"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-620-9330","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":61},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":36}],"privateFunds":0},"sources":{"adv1FilingDate":"4 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159158/PDF/159158.pdf","brochureDate":"4 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053883","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Heritage Wealth Management have?","answer":"Heritage Wealth Management has 218 clients and manages $153 million for them, as of August 2026. They include 133 individual clients, 82 high-net-worth individuals and 2 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Heritage Wealth Management offer?","answer":"Heritage Wealth Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Heritage Wealth Management use?","answer":"Heritage Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $153M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Heritage Wealth Management have?","answer":"Heritage Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Heritage Wealth Management invest in?","answer":"At the end of its last fiscal year, Heritage Wealth Management’s separately managed accounts held 61% exchange-traded equities, 36% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Heritage Wealth Management?","answer":"Heritage Wealth Management’s direct owner is Vincent Serratore (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Heritage Wealth Management get paid?","answer":"Heritage Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Heritage Wealth Management?","answer":"Heritage Wealth Management’s main office is at 100 Trade Center Drive, Suite G-700, Woburn, MA 01801. Its phone number is 800-620-9330.","source":"Form ADV Part 1A, Item 1.F, filed 4 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}