Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Hrtg Gpe, LLC
Loading private fund disclosures…
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
MONTAGUE ISLAND LLCDirect owner · Schedule AInterest in HRTG GPE, LLC
25% to < 50%
KEVIN KELLYDirect owner · Schedule AInterest in HRTG GPE, LLC
10% to < 25%
ALSACE ONEIDA, LLCDirect owner · Schedule AInterest in HRTG GPE, LLC
10% to < 25%
KEVIN THOMAS SLEMPDirect owner · Schedule AInterest in HRTG GPE, LLC
5% to < 10%
MARK STEPHEN OEIDirect owner · Schedule AInterest in HRTG GPE, LLC
5% to < 10%
WEST EIGHTH STREETDirect owner · Schedule AInterest in HRTG GPE, LLC
5% to < 10%
MEREDITH LEIGH WIEDEMANDirect owner · Schedule AInterest in HRTG GPE, LLC
5% to < 10%
KEITH JOHNSONDirect owner · Schedule AInterest in HRTG GPE, LLC
< 5%
PORT ORFORD TRUSTIndirect owner · Schedule BInterest in MONTAGUE ISLAND LLC
75%+
MICHELLE J. WACHS 2020 IRREVOCABLE TRUSTIndirect owner · Schedule BInterest in ALSACE ONEIDA, LLC
25% to < 50%
IRWIN R. GROSS 2020 IRREVOCABLE TRUSTIndirect owner · Schedule BInterest in ALSACE ONEIDA, LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Hrtg Gpe, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-06-10 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | KEITH JOHNSONCHIEF EXECUTIVE OFFICER, MANAGING MEMBER OF HRTG GPE, LLC AND MANAGER AND MEMBER OF MONTAGUE ISLAND LLCIndividual | HRTG GPE, LLC | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER, MANAGING MEMBER OF HRTG GPE, LLC AND MANAGER AND MEMBER OF MONTAGUE ISLAND LLC04/2010 | Schedule APDF page 131 |
| 2 | MICHAEL JONATHAN MORITZDIRECTOR OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | DIRECTOR OF HRTG GPE, LLC06/2010 | Schedule APDF page 131 |
| 3 | DOUGLAS MAURO LEONEDIRECTOR OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | DIRECTOR OF HRTG GPE, LLC06/2010 | Schedule APDF page 131 |
| 4 | BRUCE ALLEN KARSHDIRECTOR OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | DIRECTOR OF HRTG GPE, LLC01/2011 | Schedule APDF page 131 |
| 5 | KEVIN KELLYCHIEF INVESTMENT OFFICER AND MANAGING MEMBER OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | 10% to less than 25%Code B | Yes | CHIEF INVESTMENT OFFICER AND MANAGING MEMBER OF HRTG GPE, LLC01/2019 | Schedule APDF page 131 |
| 6 | KEVIN THOMAS SLEMPTRUSTEE OF WEST EIGHTH STREETIndividual | HRTG GPE, LLC | 5% to less than 10%Code A | No | TRUSTEE OF WEST EIGHTH STREET06/2024 | Schedule APDF page 131 |
| 7 | MONTAGUE ISLAND LLCNON-MANAGING MEMBER OF HRTG GPE, LLCDomestic entity | HRTG GPE, LLC | 25% to less than 50%Code C | Yes | NON-MANAGING MEMBER OF HRTG GPE, LLC12/2020 | Schedule APDF page 131 |
| 8 | ALSACE ONEIDA, LLCWITHDRAWN MEMBER OF HRTG GPE, LLCDomestic entity | HRTG GPE, LLC | 10% to less than 25%Code B | No | WITHDRAWN MEMBER OF HRTG GPE, LLC12/2020 | Schedule APDF page 131 |
| 9 | JOHN BROCHAN COLLISONDIRECTOR OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | DIRECTOR OF HRTG GPE, LLC10/2020 | Schedule APDF page 131 |
| 10 | MARK STEPHEN OEIWITHDRAWN MEMBER OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | 5% to less than 10%Code A | No | WITHDRAWN MEMBER OF HRTG GPE, LLC09/2016 | Schedule APDF page 131 |
| 11 | CONNIE SEK LUM WUCHIEF FINANCIAL OFFICERIndividual | HRTG GPE, LLC | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER04/2022 | Schedule APDF page 131 |
| 12 | GERALD ALBERT BEESONDIRECTOR OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | DIRECTOR OF HRTG GPE, LLC01/2024 | Schedule APDF page 131 |
| 13 | FEDERSIN D DINSAYCHIEF OPERATING OFFICERIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | CHIEF OPERATING OFFICER06/2024 | Schedule APDF page 131 |
| 14 | WILLIAM ALEX MCGEECHIEF COMPLIANCE OFFICERIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | CHIEF COMPLIANCE OFFICER01/2025 | Schedule APDF page 131 |
| 15 | JOHN PATRICK ZITODIRECTOR OF HRTG GPE, LLCIndividual | HRTG GPE, LLC | Less than 5%Code NA | No | DIRECTOR OF HRTG GPE, LLC12/2025 | Schedule APDF page 131 |
| 16 | WEST EIGHTH STREETWITHDRAWN MEMBER OF HRTG GPE, LLCDomestic entity | HRTG GPE, LLC | 5% to less than 10%Code A | No | WITHDRAWN MEMBER OF HRTG GPE, LLC06/2024 | Schedule APDF page 131 |
| 17 | MEREDITH LEIGH WIEDEMANTRUSTEE OF WEST EIGHTH STREETIndividual | HRTG GPE, LLC | 5% to less than 10%Code A | No | TRUSTEE OF WEST EIGHTH STREET06/2024 | Schedule APDF page 131 |
| 18 | Michelle Jodi WachsMANAGER OF ALSACE ONEIDA, LLCIndividual | ALSACE ONEIDA, LLC | Percentage not specifiedCode F | Yes | MANAGER OF ALSACE ONEIDA, LLC11/2020 | Schedule BPDF page 132 |
| 19 | IRWIN ROBERT GROSSMANAGER OF ALSACE ONEIDA, LLCIndividual | ALSACE ONEIDA, LLC | Percentage not specifiedCode F | Yes | MANAGER OF ALSACE ONEIDA, LLC11/2020 | Schedule BPDF page 132 |
| 20 | Betsy Andrews JohnsonTRUSTEEIndividual | PORT ORFORD TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2020 | Schedule BPDF page 132 |
| 21 | MICHELLE J. WACHS 2020 IRREVOCABLE TRUSTMEMBERDomestic entity | ALSACE ONEIDA, LLC | 25% to less than 50%Code C | No | MEMBER12/2020 | Schedule BPDF page 132 |
| 22 | IRWIN R. GROSS 2020 IRREVOCABLE TRUSTMEMBERDomestic entity | ALSACE ONEIDA, LLC | 25% to less than 50%Code C | No | MEMBER12/2020 | Schedule BPDF page 132 |
| 23 | PORT ORFORD TRUSTMEMBERDomestic entity | MONTAGUE ISLAND LLC | 75% or moreCode E | Yes | MEMBER12/2020 | Schedule BPDF page 132 |
| 24 | Michelle Jodi WachsTRUSTEE OF THE MICHELLE J. WACHS 2020 IRREVOCABLE TRUSTIndividual | MICHELLE J. WACHS 2020 IRREVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE OF THE MICHELLE J. WACHS 2020 IRREVOCABLE TRUST11/2020 | Schedule BPDF page 132 |
| 25 | IRWIN ROBERT GROSSTRUSTEE OF THE IRWIN R. GROSS 2020 IRREVOCABLE TRUSTIndividual | IRWIN R. GROSS 2020 IRREVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE OF THE IRWIN R. GROSS 2020 IRREVOCABLE TRUST11/2020 | Schedule BPDF page 132 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 6/10/2026 9:15:54 AM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.