Herriot Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Herriot Financial, LLC is a fee‑only registered investment adviser that provides continuous investment management, principally for pooled or institutional‑type assets while also noting the capacity to serve individual and high‑net‑worth clients. The firm advises on portfolios composed of equities, fixed income, mutual funds, ETFs, government and municipal securities, and cash equivalents.
Its investment approach emphasizes asset allocation and a blend of passive and active strategies, using both fundamental and technical analysis to select funds and individual securities and to consider factors such as underlying holdings, liquidity, tax efficiency, and smart/strategic‑beta characteristics. Portfolios are generally managed on a discretionary basis, with the firm accepting written client restrictions and focusing on achieving client objectives with attention to volatility and risk control rather than simply tracking or beating an arbitrary benchmark.
Distinctive operational features include that the firm is newly formed and small in scale (approximately $3.06 million in assets under management) and maintains an institutional relationship that requires clients to establish custody on the Altruist platform, a practice the brochure notes can limit clients’ ability to direct brokerage. The firm also discloses it no longer offers financial planning, provides no written performance reports beyond custodian statements, and has an outside business activity (business consulting) that represents about ten percent of its time.
Client services
Expertise
Fee options
0.50% annually, paid quarterly in arrears based on average daily balance
Fee-only: Fee-only firm, no commissions or other sales-related compensation
Main office
Alameda CA
Advisors at this office
1
Most active in
California
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.
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