H
Heaphy Investments, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$66,306,019
Clients
99
16% high-net-worth
Advisors
1
of 3 employees
Firm type
Supported
1-4 advisors or >$200M in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
99
Very HighAverage account size
$669,758
About
Heaphy Investments provides discretionary investment management and personalized portfolio oversight to individuals (including high-net-worth clients), retirement plans, trusts, estates, charitable organizations, and business entities. The firm develops client-specific investment policies and supervises portfolios to meet stated objectives, with client-tailored restrictions accommodated when practicable.
The firm employs both fundamental and technical analysis and may use long- and short-term trading strategies, margin transactions, and a mix of equities, fixed-income instruments, mutual funds and exchange-traded funds to implement client objectives. Accounts are managed on a discretionary basis with periodic reviews and reporting, and cash management outside the managed portfolio is recommended for day-to-day liquidity needs.
Noteworthy features include the provision of trust administration and trustee services through an affiliated d/b/a and the availability of separate tax, administrative and executor support services under separate agreements, which can create potential conflicts that the firm addresses with written policies and disclosures. Heaphy Investments is compensated solely by client fees for advisory services, maintains fixed-fee arrangements for certain longstanding clients, and is subject to surprise PCAOB examinations when acting in a trustee/custodial capacity.
Client services
Portfolio management
Fiduciary tax preparation; accounting for tax preparation, oversight of care management
Fiduciary tax preparation; accounting for tax preparation, oversight of care management
Expertise
Active portfolio management
Fee options
Certain long-standing pre-existing clients have a fixed fee arrangement; not available to new clients.
$0 - $1,500,000: 1.25% annually $1,500,001 - $3,500,000: 1.00% annually $3,500,001+: 0.75% annually
Account minimum: $1,000 minimum annual fee Minimum fee: Minimum annual fee of $1,000 for investment management services, which may be reduced or waived at the firm's discretion. Fee-only: Fee-only compensation; no commissions or other compensation accepted.
Main office location
Heaphy Investments, LLC
32 Hampden Street
Springfield MA 01103, United States
Number of offices
1
Most active in
Heaphy Investments, LLC has reported serving >5 clients in these states in the last 12 months.
Massachusetts
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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