Heaphy Investments, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Heaphy Investments provides discretionary investment management and portfolio supervision to individuals (including high-net-worth clients), pension and profit-sharing plans, trusts, estates, charitable organizations and business entities. Beyond investment management, the firm coordinates account administration and offers supplemental services to clients through affiliated service providers.
The firm develops individualized investment policies through personal discussions and employs both fundamental and technical analysis, using long- and short-term trading strategies and cash-management techniques where appropriate, including the limited use of margin. Accounts are managed on a discretionary basis with periodic reviews (no less frequently than quarterly) and custodial statements sent directly to clients.
Noteworthy aspects include the firm’s offering of private trust management through a d/b/a trust practice and separate tax, administrative and executor support provided via an affiliated administrative services company, arrangements the firm discloses and says it mitigates through internal policies and surprise PCAOB examinations for trustee accounts. The firm is compensated on a fee-only basis, maintains legacy fixed-fee arrangements for long-standing clients, and uses Schwab Institutional, receiving practice- and research-related services that may influence custodian selection.
Client services
Expertise
Fee options
Certain long-standing, pre-existing clients have fixed fee arrangements not available to new clients.
$0 - $1,500,000: 1.25% $1,500,001 - $3,500,000: 1.00% $3,500,001+: 0.75%
Minimum fee: Minimum annual fee of $1,000, which may be waived or reduced at the firm's discretion Fee-only: Compensated solely by fees paid by clients; no commissions or compensation from other sources.
Main office
See officeWilbraham MA
Advisors at this office
1
Offices (2)
Most active in
Massachusetts
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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.
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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
Advisors at this firm
Lois H
Series 65
Springfield, MA
Heaphy Investments, LLC
Lois Heaphy is a Series 65-licensed advisor with 17 years of experience at Heaphy Investments, LLC in Springfield, MA. She serves as president of Executive Administrative Services, Inc., a company that provides bill paying and tax return preparation for clients, though she does not perform the preparation herself. She also acts as trustee or co-trustee for several clients in a limited capacity. Heaphy Investments offers discretionary investment management and portfolio supervision to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and business entities. The firm develops individualized investment policies using both fundamental and technical analysis and provides supplemental administrative and trust-related services through affiliated companies.
Edward H
Wilbraham, MA
Heaphy Investments, LLC
Edward Heaphy is the principal advisor at Heaphy Investments, LLC, with 16 years of industry experience and a total of 38 years working at the firm. He has served as a private trustee since 1989. Heaphy Investments provides discretionary investment management and portfolio supervision to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and business entities. The firm develops individualized investment policies using both fundamental and technical analysis and manages accounts on a discretionary basis with regular reviews and direct custodian statements.
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