HEARTLAND ADVISORS, INC.
Latest filing: Feb 28, 2025 (112 days ago)
AUM
$1,885,901,565
-5% change vs. 1 year ago
2% change vs. 3 years ago
33% change vs. 5 years ago
-65% change vs. 10 years ago
Employee Count
26
4% change vs. 1 year ago
-4% change vs. 3 years ago
-7% change vs. 5 years ago
-47% change vs. 10 years ago
Main Office
MILWAUKEE, WI
790 N WATER STREET SUITE 1200, MILWAUKEE, WI, UNITED STATES, 53202
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.9 |
| Non-Discretionary | $0.0 |
| Total | $1.9 |
| Client | AUM |
|---|---|
| Retail | $0.1 |
| Pooled | $1.6 |
| Institutional | $0.1 |
| Total | $1.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 38 | $0.0 |
| Average Individual AUM | $574,387 | |
| HNW | 40 | $0.1 |
| Average HNW AUM | $3,198,392 | |
| Retail Total | 78 | $0.1 |
| Average Retail AUM | $1,920,031 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | ORLANDO-FL-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.2 |
| Retail SMA AUM | $0.1 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 97% | $0.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 1% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
11 active
| Name | Title |
|---|---|
| NASGOVITZ, WILLIAM, JOHN | DIRECTOR & CHAIRMAN |
| PAUL, VINITA, KAUR | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY |
| BEST, NICOLE, JEANNINE | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER |
| NASGOVITZ, WILLIAM, RICHARD | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER, DIRECTOR & CHIEF EXECUTIVE OFFICER &TRUSTEE OF TRUSTS |
| FLEMING, ANDREW, JOHN | VICE PRESIDENT & PORTFOLIO MANAGER |
| KOPS, MICHAEL, DAVID | VICE PRESIDENT OF SALES |
| MCWEY, COLIN, PATRICK | VICE PRESIDENT & PORTFOLIO MANAGER |
| MCGLONE, TROY, WILLIAM | VICE PRESIDENT & PORTFOLIO MANAGER |
ADVDB.CO • SOURCE: SEC
Representatives
15 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MICHAEL WARECKI | MILWAUKEE | WI | S66|2020-02-24 | ||||||
| TROY MCGLONE | MILWAUKEE | WI | S63|2014-10-06 | CHARTERED FINANCIAL ANALYST | |||||
| CORBIN MCGUIRE | MILWAUKEE | WI | S63|2018-06-15|S65|2024-05-22 | ||||||
| JEFFREY KOHL | MILWAUKEE | WI | S63|1993-06-04|S65|2004-08-13 | ||||||
| COLIN MCWEY | MILWAUKEE | WI | S63|2001-11-16 | CHARTERED FINANCIAL ANALYST | |||||
| KAREN LEPPLA | MILWAUKEE | WI | S63|1998-10-07|S65|2022-10-31 | ||||||
| JACOB WESTPHAL | MILWAUKEE | WI | S63|2018-09-05|S65|2020-08-01 | ||||||
| CLARENCE DARROW | MILWAUKEE | WI | S66|2024-02-12 | ||||||
| NICOLE BEST | MILWAUKEE | WI | S63|1998-06-05|S65|2004-02-09 | ||||||
| KEVIN CLARK | MILWAUKEE | WI | S63|1987-11-12 | ||||||
| MICHAEL KOPS | MILWAUKEE | WI | S63|1999-08-20|S65|2000-01-26|S66|2009-12-09 | ||||||
| WILLIAM NASGOVITZ | MILWAUKEE | WI | S63|1980-02-14 | ||||||
| WILLIAM NASGOVITZ | MILWAUKEE | WI | S63|2006-01-14|S65|2006-05-23 | ||||||
| ANDREW FLEMING | MILWAUKEE | WI | S63|2012-12-29 | CHARTERED FINANCIAL ANALYST | |||||
| LINDA LORENZ | MILWAUKEE | WI | S65|2018-06-07 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $1.9 | $0.0 | 0% | 26 | 0 | 0% |
| 2025-04-21 | $1.9 | $0.0 | 0% | 26 | 0 | 0% |
| 2024-04-02 | $2.0 | -$0.1 | -5% | 25 | 1 | 4% |
| 2023-04-04 | $1.7 | $0.2 | 12% | 27 | -1 | -4% |
| 2022-04-01 | $1.9 | $0.0 | 2% | 27 | -1 | -4% |
| 2021-04-05 | $1.5 | $0.4 | 23% | 25 | 1 | 4% |
| 2020-04-01 | $1.4 | $0.5 | 33% | 28 | -2 | -7% |
| 2019-04-01 | $1.3 | $0.5 | 40% | 28 | -2 | -7% |
| 2018-04-02 | $1.7 | $0.2 | 9% | 34 | -8 | -24% |
| 2017-04-01 | $2.0 | -$0.1 | -4% | 35 | -9 | -26% |
| 2016-04-01 | $2.7 | -$0.8 | -30% | 41 | -15 | -37% |
| 2015-04-01 | $5.4 | -$3.5 | -65% | 49 | -23 | -47% |
| 2014-04-01 | $6.1 | -$4.2 | -69% | 51 | -25 | -49% |
| 2013-04-01 | $5.2 | -$3.4 | -64% | 50 | -24 | -48% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| WI, CA-07/27/2005, FL-09/24/1992, IL-02/16/2005, LA-03/15/2011, MA-03/13/2014, MD-03/15/2011, MI-03/15/2011, MN-08/03/2004, MO-03/17/2006, NE-02/28/2020, NJ-04/11/2011, NV-03/01/2021, NY-03/17/2006, OH-03/15/2011, TN-03/25/2002, TX-04/02/2003, WI-04/30/1996 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV