James Heavey Wealth Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$16,973,244
Clients
105
Advisors
1
of 1 employees
About
The firm provides discretionary and non-discretionary portfolio management as well as financial planning and consulting to individuals (including high net worth clients), charitable organizations, corporations or other businesses, and pension or profit‑sharing plans. It advises on equities, corporate debt, mutual funds, ETFs, money market funds, and REITs, and may recommend third‑party money managers or model portfolios for implementation.
The firm gathers clients’ investment objectives and risk tolerance to develop tailored strategies, monitors portfolios on an ongoing basis, and provides complimentary financial planning to clients who engage its portfolio management services. Rather than performing quantitative or qualitative analysis of individual securities in‑house, it typically allocates among asset classes and relies on model portfolios and third‑party money managers whose performance it monitors and may replace as needed.
Noteworthy distinctions disclosed in the brochure include the firm’s work with charitable organizations and employer retirement plans—client types that are less common among peers—and that a principal is separately licensed to sell insurance products and earns commission‑based compensation for those sales, a potential conflict of interest disclosed by the firm. The brochure also discloses that the firm may receive compensation from recommended third‑party money managers and share in TPMM advisory fees, which the firm identifies as a factor clients should consider when evaluating recommendations.
Client services
Expertise
Fee options
Fixed fees ranging between $500 and $2,000 for financial planning and consulting
Under $1,000,000 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.75% $2,000,001 - $4,000,000: 0.50% $4,000,001 - $8,000,000: 0.40%
Commissions earned from selling insurance products, separate from advisory fees
Hourly fee of $175
Fee-only: Fixed fees ranging from $500 to $2,000; hourly fee of $175
Main office
Rockport ME, United States
Most active in
Maine
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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
Quick links
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