Heartland Advisors, Inc.

RIASEC Registered

Total AUM

$1.9B

Discretionary

$1.9B

100% of AUM

Avg account

$20.7M

Accounts

Employees

Advisory reps

Firm details

Headquarters: Milwaukee, Wisconsin
CRD number: 29433
Registered since: June 23, 1983
Website: www.heartlandadvisors.com
Custodians: CHARLES SCHWAB & CO., INC., THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Fee structure: Percentage of AUM
Client types: Investment Companies85.53%
HNWI8.73%
Corporations / Businesses2.92%
Charitable Organizations1.12%
Individuals1.11%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Heartland Advisors, Inc. is a corporation operating as an institutional registered investment adviser. The firm has been SEC-registered since 1983. It serves both individual and family clients as well as institutional mandates, charging fees as a percentage of assets under management. Heartland’s advisory scope includes portfolio management for individuals and small businesses, management of investment company assets, and portfolio services for business or institutional accounts. The firm is also noted as an active ESG investor and has business activities listed as a CPO/CTA. Ownership is described as a mix of a domestic entity and individual owners.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Exchange Traded Equities95%
Public Funds/Mutual Funds3%
Cash & Cash Equivalents2%

Owners & executives

3 of 3

William Nasgovitz
CEO and Portfolio ManagerCRD 4826680
Nicole Best
Chief Financial OfficerCRD 3053329
Vinita Paul
Vice President, Chief Compliance Officer, General Counsel, and SecretaryCRD 5227040