{"url":"https://nivawealth.com/firms/the-heaton-hoppes-group-115511","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/115511","regulatoryAum":172545165,"crd":"115511","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1674580","suffix":null,"lastName":"HEATON","firstName":"ROBERT","middleName":"MICHEAL"},{"crd":"7976903","suffix":null,"lastName":"Hoppes","firstName":"Jake","middleName":"Robert"},{"crd":"4581702","suffix":null,"lastName":"HOPPES","firstName":"KARLA","middleName":"RENEE"}],"total":3,"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":"2021-03-26","regulatoryAum":151403566,"clients":110,"employees":3,"offices":1},{"filedOn":"2022-03-16","regulatoryAum":178768983,"clients":106,"employees":2,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":144774955,"clients":105,"employees":2,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":150105472,"clients":100,"employees":2,"offices":1},{"filedOn":"2025-03-12","regulatoryAum":155007165,"clients":95,"employees":3,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":172545165,"clients":97,"employees":3,"offices":1}],"secFileNumber":"801-113740","legalName":"The Heaton Hoppes Group, LLC","displayName":"The Heaton Hoppes Group","slug":"the-heaton-hoppes-group-115511","website":"https://cedarvalleywealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/heaton-adams-financial-services-lc/","founded":null,"organization":"Iowa limited liability company","fiscalYearEnd":"December","headquarters":{"street":"411 Viking Road, Suite A","city":"Cedar Falls","state":"IA","stateName":"Iowa","country":"United States","postalCode":"50613"},"tradeNames":[],"registration":{"secApproved":"26 July 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1626533.1630434783,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":172545165,"discretionary":172545165,"discretionaryAccounts":293,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":66,"regulatoryAum":62491127},{"label":"High-net-worth individuals","clients":26,"regulatoryAum":87149924},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":21681624},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1222490}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:20:45.615461+00:00","documents":[{"name":"CEDAR VALLEY WEALTH ADVISORS ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024610","versionId":1024610,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":62660502},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":72907740}],"custodyNote":"The Heaton Hoppes Group has custody of $1.47M in client assets for 46 clients.","otherCustodians":[],"leadership":[{"name":"Karla Hoppes","title":"Chief Compliance Officer and Managing Member","crd":"4581702"},{"name":"Robert Heaton","title":"Member","crd":"1674580"}],"ownership":[{"label":"Robert Heaton","detail":"Member in the 25% to 50% ownership band and a control person, since January 2023."},{"label":"Karla Hoppes","detail":"Chief compliance officer and managing member in the 50% to 75% ownership band and a control person, since January 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Iowa","offices":1,"addresses":[{"street":"411 Viking Road, Suite A","city":"Cedar Falls","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"319-266-6507","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":96},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":1,"detail":"Guaranteed Investment Contracts"}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/115511/PDF/115511.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024610","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 The Heaton Hoppes Group have?","answer":"The Heaton Hoppes Group has 97 clients and manages $173 million for them, as of March 2026. They include 66 individual clients, 26 high-net-worth individuals, and 5 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does The Heaton Hoppes Group offer?","answer":"The Heaton Hoppes Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","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 The Heaton Hoppes Group use?","answer":"The Heaton Hoppes Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $72.9M and Fidelity Brokerage Services LLC (Smithfield, RI), with $62.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does The Heaton Hoppes Group have?","answer":"The Heaton Hoppes Group has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","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 The Heaton Hoppes Group invest in?","answer":"At the end of its last fiscal year, The Heaton Hoppes Group’s separately managed accounts held 96% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents, 1% exchange-traded equities and 1% other. The 1% other category is described as: Guaranteed Investment Contracts.","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 The Heaton Hoppes Group?","answer":"The Heaton Hoppes Group’s direct owners are Robert Heaton (25% to 50%) and Karla Hoppes (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does The Heaton Hoppes Group get paid?","answer":"The Heaton Hoppes Group is paid through a percentage of assets under management, hourly charges and other compensation. 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 The Heaton Hoppes Group?","answer":"The Heaton Hoppes Group’s main office is at 411 Viking Road, Suite A, Cedar Falls, IA 50613. Its phone number is 319-266-6507. Its website is cedarvalleywealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 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."}