HEARTWOOD WEALTH ADVISORS, LLC
Adviser information for HEARTWOOD WEALTH ADVISORS, LLC last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,190 | $1.0B |
| Non-Discretionary | 403 | $106.8M |
| Total | 1,593 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 522 | $1.0B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 6 | $89.7M |
| Charitable organizations | <5 | $3.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-114721 |
|---|---|
| SEC ERA File Number | 801-114721 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300273 |
| Legal Entity Identifier | None |
Principal Office
9020 STONY POINT PARKWAYSUITE 225
RICHMOND
VA
United States
Monday - Friday, 8:30AM- 4:00 PM
Tel: 804-269-8711, Fax: 804-323-7130
Websites
Chief Compliance Officer
ANITA BOST
DIRECTOR
9020 STONY POINT PARKWAY
SUITE 225
RICHMOND
VA
United States
Tel:
804-269-8710
A****@**************M
(Full email address available in API data)
Regulatory Contact
WESLEY KAUFMAN
MANAGING DIRECTOR
9020 STONY POINT PKWY
SUITE 225
RICHMOND
VA
United States
Tel:
804-269-8715
W*******@**************M
(Full email address available in API data)
Industry Affiliates
| HEARTWOOD TAX CONSULTANTS | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAUFMAN, WESLEY, BRENT | Individual | – | MANAGING DIRECTOR | 01/2019 | < 5% |
| MARTIN, EDWIN, SIDNEY | Individual | – | MANAGING DIRECTOR | 01/2019 | < 5% |
| CLARKE, STEPHEN, TIMOTHY | Individual | – | MANAGING DIRECTOR | 01/2019 | < 5% |
| BOST, ANITA, KEYSER | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |
| GURLEY, BENJAMIN, FOWLER | Individual | – | DIRECTOR | 01/2019 | 5-10% |
| E. SIDNEY MARTIN LLC | Domestic Entity | – | OWNER | 01/2019 | 25-50% |
| STEPHEN T. CLARKE LLC | Domestic Entity | – | OWNER | 01/2019 | 25-50% |
| WESLEY B. KAUFMAN LLC | Domestic Entity | – | OWNER | 01/2019 | 25-50% |
| MARTIN, EDWIN, SIDNEY | Individual | E. SIDNEY MARTIN LLC | OWNER | 01/2013 | > 75% |
| KAUFMAN, WESLEY, BRENT | Individual | WESLEY B. KAUFMAN LLC | OWNER | 01/2013 | > 75% |
| CLARKE, STEPHEN, TIMOTHY | Individual | STEPHEN T. CLARKE LLC | OWNER | 01/2013 | > 75% |