HERON FINANCIAL GROUP, LLC
Legal name: HERON WEALTH
CRD #146012 SEC #801-68679 NEW YORK, NY 800-994-3766
SEC Registered
Total AUM
$433M
Discretionary
$287M
Employees
5
Clients
101
Accounts
1,427
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2023
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DEL PRIORE, MICHAEL, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DEL PRIORE, MICHAEL, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EDWARDS, DAVID, SAY | I | MANAGING DIRECTOR | NA | Control |
| EDWARDS, DAVID, SAY | I | MANAGING DIRECTOR | NA | Control |
| FRIEDMAN, GREGORY, HUGH | I | CHIEF STRATEGY OFFICER | NA | Control |
| FRIEDMAN, GREGORY, HUGH | I | CHIEF STRATEGY OFFICER | NA | Control |
| LAMENA, MICHAEL, ANTHONY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LAMENA, MICHAEL, ANTHONY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIESER, LORI, MICHELL | I | VICE PRESIDENT | NA | Control |
| LIESER, LORI, MICHELL | I | VICE PRESIDENT | NA | Control |
| MOO, VERONICA, EI CHUN | I | DIRECTOR | NA | Control |
| MOO, VERONICA, EI CHUN | I | DIRECTOR | NA | Control |
| MORIARTY, MICHAEL, JOSEPH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MORIARTY, MICHAEL, JOSEPH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| O'MALLEY, EDWARD, GEORGE | I | DIRECTOR | NA | Control |
| O'MALLEY, EDWARD, GEORGE | I | DIRECTOR | NA | Control |
| POWERS, BRIAN, DAVID | I | CHIEF FINANCIAL OFFICER | NA | Control |
| POWERS, BRIAN, DAVID | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHNEIDER, BRETT, RONALD | I | DIRECTOR | NA | Control |
| SCHNEIDER, BRETT, RONALD | I | DIRECTOR | NA | Control |
| SONTAG, ERIC, MATTHEW | I | PRESIDENT & CHIEF OPERATIONS OFFICER | NA | Control |
| SONTAG, ERIC, MATTHEW | I | PRESIDENT & CHIEF OPERATIONS OFFICER | NA | Control |
| STASTNEY, HOYT, RONALD | I | CHIEF LEGAL OFFICER | NA | Control |
| STASTNEY, HOYT, RONALD | I | CHIEF LEGAL OFFICER | NA | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| WEALTHSPIRE ADVISORS | DE | OWNER | E | Control |
| WEALTHSPIRE ADVISORS | DE | OWNER | E | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| EDWARDS, DAVID, SAY | I | MEMBER, MANAGER, PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| ARIANNA TAUSIG-EDWARDS TRUST U/A DATED 12/09/1992 | DE | MEMBER | B | |
| ATE TRUST U/A DATED 12/09/1992 | DE | MEMBER | B | |
| ATE TRUST U/A DATED 12/09/1992 | DE | MEMBER | B | |
| NICHOLAS TAUSIG-EDWARDS TRUST U/A DATED 01/29/1996 | DE | MEMBER | B | |
| NTE TRUST U/A DATED 01/29/1996 | DE | MEMBER | B | |
| NTE TRUST U/A DATED 01/29/1996 | DE | MEMBER | B | |
| TAUSIG, JARED, FRANK | I | TRUSTEE OF BOTH MEMBER TRUSTS | B | Control |
| TAUSIG, JARED, FRANK | I | TRUSTEE OF BOTH MEMBER TRUSTS | B | Control |
| TAUSIG, JARED, FRANK | I | TRUSTEE OF BOTH MEMBER TRUSTS | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MADISON DEARBORN PARTNERS | DE | PATRIOT SPV GP, L.P. | F | Control |
| MADISON DEARBORN PARTNERS | DE | PATRIOT SPV GP, L.P. | F | Control |
| PATRIOT SPV GP, L.P. | DE | PATRIOT SPV, L.P. | F | Control |
| PATRIOT SPV GP, L.P. | DE | PATRIOT SPV, L.P. | F | Control |
| NFP CORP. | DE | WEALTHSPIRE HOLDINGS, LLC | E | Control |
| NFP CORP. | DE | WEALTHSPIRE HOLDINGS, LLC | E | Control |
| NFP HOLDINGS, LLC | DE | NFP PARENT CO, LLC | E | Control |
| NFP HOLDINGS, LLC | DE | NFP PARENT CO, LLC | E | Control |
| NFP INTERMEDIATE HOLDINGS A. CORP. | DE | NFP INTERMEDIATE HOLDINGS B. CORP. | E | Control |
| NFP INTERMEDIATE HOLDINGS A. CORP. | DE | NFP INTERMEDIATE HOLDINGS B. CORP. | E | Control |
| NFP INTERMEDIATE HOLDINGS B. CORP. | DE | NFP CORP. | E | Control |
| NFP INTERMEDIATE HOLDINGS B. CORP. | DE | NFP CORP. | E | Control |
| NFP PARENT CO, LLC | DE | NFP INTERMEDIATE HOLDINGS A. CORP. | E | Control |
| NFP PARENT CO, LLC | DE | NFP INTERMEDIATE HOLDINGS A. CORP. | E | Control |
| NFP ULTIMATE HOLDINGS, LLC | DE | NFP HOLDINGS, LLC | E | Control |
| NFP ULTIMATE HOLDINGS, LLC | DE | NFP HOLDINGS, LLC | E | Control |
| PATRIOT SPV, L.P. | DE | NFP ULTIMATE HOLDINGS, LLC | E | Control |
| PATRIOT SPV, L.P. | DE | NFP ULTIMATE HOLDINGS, LLC | E | Control |
| WEALTHSPIRE HOLDINGS, LLC | DE | WEALTHSPIRE ADVISORS | E | Control |
| WEALTHSPIRE HOLDINGS, LLC | DE | WEALTHSPIRE ADVISORS | E | Control |
Registrations
Federal
IA
Mar 29, 2023 REGISTERED
Notice Filings (11)
CA CT FL IL MA MD NH NJ NY PA TX
Address
12 EAST 49TH STREET18TH FLOOR
NEW YORK, NY 10017
United States
Phone: 800-994-3766