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Heaton Adams Financial Services, Lc (Waterloo)


Heaton Adams Financial Services, Lc is an adviser based in Waterloo. It manages $56.55 million of regulatory assets for 240 client accounts. It has been registered with the SEC as an adviser since 2010.

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Heaton Adams Financial Services, Lc provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Heaton Adams Financial Services, Lc: assets under management

The assets under management (AUM) of Heaton Adams Financial Services, Lc is $56.55 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 47% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $56.55 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $235.62 thousand each.
Heaton Adams Financial Services, Lc has custody of $53.95 million in cash and securities for 211 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Heaton Adams Financial Services, Lc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Waterloo

The principal office where Heaton Adams Financial Services, Lc performs its advisory services is located at 333 West Fourth Street, Waterloo, IA 50701 5503, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 319-232-1943 or by fax 319-235-6664. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.heatonadams.com.


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