Heaton Financial, PC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$137,511,000
Clients
332
Advisors
2
of 2 employees
About
Heaton Financial, PC provides investment advisory and financial planning services to individuals (including high‑net‑worth clients) and business entities, offering ongoing portfolio management, retirement‑rollover guidance, and project‑based financial planning. The firm manages accounts classified as asset‑allocation, equity, fixed‑income and a designated trading account type used for more active strategies.
The firm’s investment process combines charting, fundamental, technical and cyclical analysis and employs a mix of long‑term and short‑term trading, including short sales and options writing, alongside traditional allocation approaches. Heaton Financial generally manages client accounts on a discretionary basis while permitting client‑imposed restrictions or non‑discretionary directions when requested.
Distinctive features include a recent transition from state registration to the SEC, in‑house management of all client assets rather than selection of third‑party managers, and a formal trading account offering that supports frequent trading and options activity with a material initial deposit requirement. The firm aggregates block trades across accounts and withdraws advisory fees directly from custodian accounts, and it manages the large majority of its assets on a discretionary basis despite a small advisory team.
Client services
Expertise
Fee options
$1 - $50,000: Fixed Income: 1.00%; Asset Allocation: 1.50%; Equity: 1.75%; Trading: N/A $50,001 - $100,000: Fixed Income: 0.85%; Asset Allocation: 1.25%; Equity: 1.50%; Trading: N/A $100,001 - $250,000: Fixed Income: 0.75%; Asset Allocation: 1.00%; Equity: 1.25%; Trading: N/A $250,001 - $500,000: Fixed Income: 0.60%; Asset Allocation: 1.00%; Equity: 1.15%; Trading: N/A $500,001 - $1,000,000: Fixed Income: 0.50%; Asset Allocation: 0.90%; Equity: 1.00%; Trading: N/A Above $1,000,000+: Fixed Income: 0.35%; Asset Allocation: 0.75%; Equity: 0.85%; Trading: N/A
$200 per hour for financial planning services; fees negotiable
Account minimum: $100,000 (for Trading portfolio); no minimum for other portfolio types Fee-only: Financial Planning hourly fees at $200/hour, negotiable
Main office
337 S Main, Suite 120
Cedar City UT 84720
Advisors at this office
2
Most active in
Arizona · Texas · Utah
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.
Quick links
Advisors at this firm
Kimber H
CFP®, Series 63, Series 65
Cedar City, UT
Heaton Financial, PC
Kimber Heaton is a CFP® professional with 30 years of experience in financial advising. He has been with Heaton Financial, PC since 2005. In addition to his advisory work, Heaton serves as a trustee for two trusts, managing assets and distributions monthly. Heaton Financial, PC offers investment advisory and financial planning services to individuals and business entities, including high-net-worth clients. The firm utilizes a blend of long-term and short-term trading strategies, combining fundamental, technical, and cyclical analysis, and manages client assets primarily on a discretionary basis.
Mitchell M
Series 65
St. George, UT
Heaton Financial, PC
Mitchell Mortensen is a Series 65-licensed advisor at Heaton Financial, PC with 11 years of industry experience. He is also the owner and president of Spectra Group, Inc., where he works as a civil engineer. Heaton Financial, PC provides investment advisory and financial planning services to individuals, including high-net-worth clients, and business entities. The firm employs a combination of charting, fundamental, technical, and cyclical analysis, managing accounts through both long-term and short-term trading strategies, including options writing and short sales.
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