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Paladin Registry 5 Stars

This advisor or firm is a vetted, documented member of the Paladin Registry.

This advisor or firm received a 5 Star quality rating from Paladin’s research department. Paladin analysts use a proprietary algorithm to rate the quality of financial advisor and firm credentials, ethics, business practices, and services.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).

I. Snapshot

A. Registry Member
  • Since 2006
B. Years of Experience
  • 29
C. College Degrees
  • University of Rochester - BA Political Science
D. Certifications
  • None
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read 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 sim

G. Asset Requirement
  • $250,000

II. Contact Information

A. Key Contact
  • Paul Schatz
B. Main Location
  • 1 Bradley Road
    Suite 202
    Woodbridge, Connecticut, 06525
C. Telephone
  • 203.389.3553

III. Internet

B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Heritage Capital LLC
B. Relationship to Firm
  • Owner
C. Name of RIA
  • Heritage Capital LLC
D. Name of Broker/Dealer
  • None
E. Name(s) of Custodian(s)
  • Fidelity/National Financial Srvs
  • Guggenheim

V. Credentials

A. Years of Financial Experience
  • 29 Years
B. College, Degrees, Years
  • University of Rochester - BA Political Science
C. Current Certifications
  • None
D. Financial Industry Associations (Active Memberships)
  • National Association of Active Investment Managers

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • RIA and IAR
B. Type of RIA Registration
  • State - Connecticut
C. Industry Licenses
  • None
D. Registration & License Numbers
  • CRD: 2241878
  • IARD: None
  • Insurance: None
E. State Licences
  • Financial Advice, Services for Fees: See List
    • Connecticut
    • Massachusetts
    • New York
    • Rhode Island
    • Texas
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • None
J. View our ADV(s)
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read 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 sim

B. Minimum Asset Requirement
  • $250,000
C. Number of Current Clients
  • 176
D. Assets (Management, Advisement)
  • $70,000,000
E. Methods of Compensation
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Monthly)
  • Newsletters (Monthly)
H. Second Language(s)
  • None
I. Value Statement
  • Not Available

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Business (Taxable)
  • Endowments & Foundations
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews

IX. Certification

Advisor Name
  • Paul Schatz
Most Recent Update:
  • Nov 19, 2018

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