SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Heights LLC
Los Angeles, CA
CRD 315969
Firm filing updated March 31, 2026 ·
- $239.2MAssets
- 14Clients
- 2Advisory staff
- 14Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals11
- Pooled vehicles3
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 11 | $170.2 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $69.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
Assets and accounts
- Regulatory assets$239.2 million
- Accounts14
- Discretionary$69.0 million · 3 accounts
- Non-discretionary$170.2 million · 11 accounts
People
- Employees3
- Advisory staff2
- Broker-dealer reps2
- Licensed insurance agents0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 315969, SEC file 801-128704.
- Registered with the SEC as an investment advisor (status date on record: September 11, 2023).
Is Heights LLC a fiduciary?
Short answer: Heights LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.