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Heaphy Investments, LLC (Springfield)


Heaphy Investments, LLC is an adviser based in Springfield. It manages $48.42 million of regulatory assets for 258 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of Massachusetts.

Heaphy Investments provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Heaphy Investments: assets under management

The assets under management (AUM) of Heaphy Investments, LLC is $48.42 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 33% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $48.42 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $187.69 thousand each.
Heaphy Investments has custody of $36.79 million in cash and securities for 158 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Heaphy Investments, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Springfield

The principal office where Heaphy Investments, LLC performs its advisory services is located at 32 Hampden Street, Springfield, MA 01103 The mailing address of the firm is P. O. Box 1529, Springfield, MA 01101 1529. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 413-736-8805 or by fax 413-736-4474. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.


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