Heaton Financial, PC

Heaton Financial, PC provides ongoing portfolio management and financial planning to individuals, high‑net‑worth clients, and some corporate/business entity accounts. The firm reports approximately $107.6 million in assets under management across two advising professionals and about 358 client relationships, and commonly uses asset‑based advisory arrangements.

The firm constructs and supervises discretionary portfolios across asset allocation, equity, and fixed‑income account types and applies charting, fundamental, technical, and cyclical analysis. It implements both long‑ and short‑term trading and may use options writing and short sales—more active and higher‑risk strategies than are typical at many small advisory firms—and conducts at least monthly reviews while generally recommending a national custodian for custody and execution.

Notable features that distinguish the firm from many peers include its two‑advisor model managing over $100 million in house (no third‑party managers are used) and a principal who is a CFP® certificant with insurance licensing and limited outside business activities, including trustee and real‑estate LLC roles. The firm also recently removed a trading fee option from its fee schedule and maintains the capacity to charge hourly planning fees for non‑managed clients, which are operational choices not universally found among similarly sized firms.