Jacob Westphal is a registered investment advisor at Heartland Advisors, INC., based in Milwaukee, WI, with 7 years of industry experience. Jacob operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 90 clients with $1.9B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 1.00% |
| $5.0M - $15.0M | 0.85% |
| $15M+ | 0.85% |
Fees above $15,000,000 are negotiable. Heartland may negotiate lower fees with investment advisors or other financial intermediaries that retain Heartland to manage a significant portion of assets. Fee schedule applies to Small Cap Value Strategy, Small Cap Value Plus Strategy, Value Strategy, Opportunistic Value Equity Strategy, and Mid Cap Value Strategy.
Fee Estimator
Location
790 N Water Street Suite 1200, Milwaukee, WI, 53202
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Jacob works as an associate portfolio manager at Heartland Advisors Inc, an investment firm, dedicating full-time hours. He is also a registered representative at Alps Distributors, Inc., a broker-dealer, also dedicating full-time hours.
Employment History
Current Registrations
Heartland Advisors, INC.
Alps Distributors, INC.Broker
Previous Registrations
UBS Securities LLCBroker
State Registrations51 states
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