Heartland Advisors, Inc.

RIASEC Registered
Total AUM
$1.9B
Discretionary
$1.9B
100% of AUM
Avg account
$20.7M
Accounts
93
Employees
26
Advisory reps
15

Firm details

Headquarters
Milwaukee, Wisconsin
CRD number
29433
Registered since
June 23, 1983
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. operates as a corporate, institutional registered investment adviser. The firm is registered with the SEC (registration year 1983) and manages portfolios for individual and family clients as well as institutional investors. Compensation is based on a percentage of assets under management. Advisory activity spans separately managed account portfolio management for individuals and small businesses, investment companies, and institutional/business clients. The firm is identified as an active ESG investor and also records business activity as a CPO/CTA, indicating involvement with commodity trading or pooled-commodity programs. Ownership is a mix of domestic entity and individual ownership.

Assets & Accounts

Public Holdings

Investments & Alternatives

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

Asset composition: Exchange Traded Equities 95%, Public Funds/Mutual Funds 3%, Cash & Cash Equivalents 2%95%
  • Exchange Traded Equities95%
  • Public Funds/Mutual Funds3%
  • Cash & Cash Equivalents2%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 2

Active vs passive

$5.3M in ETFs

Passive

100%

$5.3M

Active

0%

$0

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE US AGGREGATE BOND ETF (AGG)BlackRockPassiveIntermediate Core Bond$5.1M53,66695.98%

Location

Primary office

Milwaukee, WI

Milwaukee

Location

Milwaukee, WI

Headquartered in Milwaukee, WI, anchoring the Milwaukee-Racine-Waukesha, WI metro in the Midwest.

Metro area
Milwaukee-Racine-Waukesha, WI
Region
Midwest
County
Milwaukee
Address
790 N Water St
Time zone
CT (UTC-6)
Office locations

Similar firms

Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth