9AT: HERITAGE WEALTH MANAGEMENT

Adviser Profile

As of Date	02/19/2026
Registration	SEC, Approved, 03/25/2016
Other registrations (1)	Texas, Terminated, 04/28/2016
ADV Location	HOUSTON, TX, United States
Contact Info	713 xxxxxxx
Websites

AUM^*	357,815,556 35%
of that, discretionary	357,081,365 41%
Number of Employees	6 -25%
of those in investment advisory functions	4 -20%
Private Fund GAV^*	0
Avg Account Size	445,598 2%
% High Net Worth	50.92% 11%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser BALLAST, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM751.5m	#Funds-
Adviser FLAGSHIP WEALTH ADVISORS, LLC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM748.6m	#Funds-
Adviser PETROS FAMILY WEALTH, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM341.6m	#Funds-
Adviser CHANCELLOR WEALTH MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM174.0m	#Funds-
Adviser MEYERS WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.9b	#Funds-
Adviser CHB INVESTMENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM214.2m	#Funds-
Adviser BUTTONWOOD FINANCIAL ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM483.2m	#Funds-
Adviser MPS-LORIA FINANCIAL PLANNERS,LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM826.6m	#Funds-
Adviser SARD WEALTH MANAGMENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM464.0m	#Funds-
Adviser SPECTRUM FINANCIAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM278.1m	#Funds-

Brochure Summary

Overview

Advisory Firm Description Heritage Wealth Management, Inc. (“HWM” or the “Firm”) has been in business since July 1, 2002. The principal owner is Brett Stephen Carleton. Types of Advisory Services Financial Planning Services Financial planning advice will typically involve providing a variety of services to clients regarding the management of their financial resources based upon an analysis of their individual needs. The Firm will first conduct a complimentary initial consultation during which pertinent information about the client’s financial circumstances and objectives is collected. The information normally covers, but is not limited to, present and anticipated assets and liabilities, retirement goals, investment horizon, financial needs and cost of living needs. Once such information has been reviewed and analyzed, a written financial plan designed to achieve the client’s stated financial goals and objectives will be produced and presented to the client. Investment Advisory Services HWM offers investment advisory services through its wrap fee program, which include portfolio management for individuals and for businesses, pension consulting and selection of other advisers. These services and associated fees

are separately disclosed in the Firm’s Wrap Fee brochure. As a convenience, HWM also offers managed non-wrap accounts which are described below. This service is designed for tax efficiency of HNW individuals in their taxable accounts. Sub-Advisory Services HWM will recommend the investment sub-advisory services of Dimensional Fund Advisors (“DFA”), based on DFA’s value-added investment approach, to suitable clients. This approach includes tailored solutions within well-designed, highly diversified, and cost-efficient portfolios. HWM is responsible for selecting the investment strategy for each client based on the stated goals and objectives of the client and will periodically review client accounts to ensure that the strategy is being followed by DFA. Clients will choose whether or not they want to use these services. Clients may impose reasonable restrictions (within the meaning of that term under Rule 3a-4 under the Investment Company Act) on the management of an account. HWM shall communicate such reasonable restrictions to DFA. Client Assets Under Management As of December 31, 2023, the Firm had $253,699,008 of discretionary assets under management and $10,575,768 of nondiscretionary assets under management.

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT, INC.

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Overview

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HERITAGE WEALTH MANAGEMENT HERITAGE WEALTH MANAGEMENT HERITAGE WEALTH MANAGEMENT, INC.

Related Companies

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT, INC.