Heartland Advisors, Inc.

RIASEC RegisteredEst. 1983

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 SEC-registered corporate investment adviser operating since 1983 that manages portfolios for both individual and institutional clients. The firm charges fees tied to assets under management and provides portfolio management services across individual/small business accounts, investment company mandates, and institutional/business accounts. Heartland identifies as an active ESG investor and lists CPO/CTA among its business activities. Ownership is domestic and includes individual owners; it is not a multi-state or newly formed adviser and does not position itself as a capital allocator or related adviser to another firm.

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

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