Paul Schatz

1 Bradley Road
Suite 202
Woodbridge, Connecticut, 06525
Telephone: 203.389.3553
Medium_1914_131120060732511
Registry Member Since 2006

Business Philosophy

Heritage Capital, LLC is an award-winning personal investment management firm dedicated to growing your portfolio and protecting your assets as we work as a team to achieve your lifetime financial goals. With a focus on long-term planning for your comfortable retirement and your family's education needs, we provide you the peace of mind that comes from entrusting your financial future to experienced, educated, and trustworthy professionals. In today's ever changing investment landscape, it's simply not enough to create a static asset allocation and forget about it. We take a very proactive approach with your portfolio, monitoring it 24/7 and making necessary adjustments as we seek to deliver superior investment returns.

1. What are your firm names?
  • Registered Investment Advisor

    Heritage Capital LLC

2. How is your RIA registered?
  • SEC
3. What type of practice do you have?
  • Sole Practitioner
4. What is your relationship to your RIA?
  • Owner
5. What are your years of financial services experience?
  • 22 Years
6. Do you have one or more degrees from an accredited college or university?
School
Degree
University of Rochester
BA Political Science
7. Are you a current member of one or more financial service industry associations?
  • NAAIM
8. What are your license and registration numbers?
9. What are your current registrations and licenses?
  • No Active Security Licenses
10. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
11. In what states are you licensed or registered to sell investment services and products for fees or commissions?
  • Did Not Answer
12. In what states are you licensed to sell insurance products for commissions?
  • Did Not Answer
13. In the past five years, do you have any disclosures on your investment or insurance compliance records?
  • Investment Disclosures: No
  • Insurance Disclosures: No
14. Since you became an adult, do you have any criminal disclosures (misdemeanors/felonies)?
  • No
15. My ADV Part II is:
  • Available Upon Request
16. Do you have any additional disclosures?
  • Did Not Answer
  • 17. What are your methods of compensation?
    • Did Not Answer
    18. Will you work with clients over the telephone and Internet?
    • Did Not Answer
    19. What types of reports do you provide your clients and what is the frequency?
    • Did Not Answer
    20. Will you meet with prospective clients at their locations?
    • Yes
    21. Do you make investment decisions for your clients without their approval in advance?
    • Did Not Answer
    22. Scope of Business: What is your current number of clients (not accounts)?
    • None
    23. Scope of Business: What are your current assets under management or advisement? (Compensation is fees)
    • None
    24. Do you have a minimum fee requirement?
    • Did Not Answer
    25. Do you have a minimum asset requirement?
    • $100,000
    26. Do you speak any additional languages fluently?
    • None
    27. Do you provide any limited engagement services?
    • None
    28. Which categories of financial services do you provide for fees? Another professional (CPA, estate attorney) may provide one or more of these services.
    • Planning
    • Investment
    29. Do you sell investment or insurance products for commissions?
    • No
    30. What types of clients do you work with?
    • Individuals
    • Businesses
    • Foundations
    31. Which custodian(s) take physical possession of your clients' assets? If applicable, name the top three in order of importance
    • Fidelity/National Financial Srvs
    • Rydex

    Certification

    I certify all of the information in my professional profile is accurate and up-to-date.
    Advisor Name: Paul Schatz
    Most Recent Update: Oct 1, 2013