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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

HEARTWOOD WEALTH ADVISORS, LLC

CRD 300273

RICHMOND, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2dd6842a-a2c3-2828-77c9-ac848ee2240e

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 2
On other graphs: 0
Observed: Jan 18, 2019 to Apr 30, 2026
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $1.5BItem 5.F on the latest filing (2026-04-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $1.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $172Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 13
Advisory employees: 10
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,897
Individual clients: 0
High net worth clients: 566
Custody, client assets: $0
SEC number: 801-114721
CRD: 300273
Filings on the tape: 20
First filed: Jan 18, 2019
Latest filed: Apr 30, 2026
Organised: Limited Liability Company, VA
Website: heartwoodva.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
WESLEY BRENT KAUFMAN	Certified Financial Planner	RICHMOND, VA	7	31	2	no
STEPHEN TIMOTHY CLARKE	n/a	RICHMOND, VA	7	30	2	no
EDWIN SIDNEY MARTIN	n/a	RICHMOND, VA	7	29	2	no
TRICIA HUNTER MUSTICO	n/a	RICHMOND, VA	7	21	2	no
BENJAMIN FOWLER GURLEY	Certified Financial Planner	RICHMOND, VA	7	11	1	yes
SARAH FERGUSON HARRIS	n/a	Richmond, VA \| RICHMOND, VA	4	24	2	no
Susan Musselman Norfleet	Personal Financial Specialist	RICHMOND, VA	4	24	n/a	no
BRIAN M CANN	Chartered Financial Analyst	RICHMOND, VA	4	16	n/a	no
KATHRYN Jefferson PRUITT	n/a	RICHMOND, VA	2	21	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CLARKE, STEPHEN, TIMOTHY	MANAGING DIRECTOR	Na	yes	01/2019	Apr 30, 2026	Apr 30, 2026
KAUFMAN, WESLEY, BRENT	MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER	Na	yes	01/2019	Apr 30, 2026	Apr 30, 2026
MARTIN, EDWIN, SIDNEY	MANAGING DIRECTOR	Na	yes	01/2019	Apr 30, 2026	Apr 30, 2026
BOST, ANITA, KEYSER	CHIEF COMPLIANCE OFFICER	Na	yes	01/2019	Jan 18, 2019	Feb 29, 2024
CLARKE, STEPHEN, TIMOTHY	Owner	E	yes	01/2013	Jan 18, 2019	Feb 29, 2024
KAUFMAN, WESLEY, BRENT	Owner	E	yes	01/2013	Jan 18, 2019	Feb 29, 2024
MARTIN, EDWIN, SIDNEY	Owner	E	yes	01/2013	Jan 18, 2019	Feb 29, 2024
E. SIDNEY MARTIN LLC	Owner	C	no	01/2019	Apr 30, 2026	Apr 30, 2026
GURLEY, BENJAMIN, FOWLER	MANAGING DIRECTOR	B	no	01/2019	Apr 30, 2026	Apr 30, 2026
STEPHEN T. CLARKE LLC	Owner	C	no	01/2019	Apr 30, 2026	Apr 30, 2026
WESLEY B. KAUFMAN LLC	Owner	B	no	01/2019	Apr 30, 2026	Apr 30, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SUSAN M NORFLEET	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 7 of 8

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Apr 30, 2026	$1.5B	$1.4B	13	10	n/a	n/a
2024	Mar 4, 2025	$1.3B	$1.2B	13	8	n/a	n/a
2023	Feb 29, 2024	$1.1B	$1.0B	13	7	n/a	n/a
2022	Feb 17, 2023	$983M	$877M	13	7	n/a	n/a
2021	Feb 1, 2022	$1.0B	$907M	11	6	n/a	n/a
2020	Mar 29, 2021	$881M	$794M	9	5	n/a	n/a
2019	Mar 24, 2020	$751M	$669M	9	5	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.5B	$1.3B	18.9%	$983M	16.4%	13	13	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	5	Jun 5, 2019	Jun 7, 2019	RICHMOND, VA	Team lift out	Wirehouse to new firm	0.4%

Relationships

Registered with (9)

← KATHRYN Jefferson PRUITTAdvisorregistration: current employment
Jul 30, 2024 to presentfactForm ADV
← BRIAN M CANNAdvisorregistration: current employment
Sep 16, 2022 to presentfactForm ADV
← Susan Musselman NorfleetAdvisorregistration: current employment
Jan 11, 2022 to presentfactForm ADV
← SARAH FERGUSON HARRISAdvisorregistration: current employment
Oct 7, 2021 to presentfactForm ADV
← BENJAMIN FOWLER GURLEYAdvisorregistration: current employment
Jun 7, 2019 to presentfactForm ADV
← WESLEY BRENT KAUFMANAdvisorregistration: current employment
Jun 6, 2019 to presentfactForm ADV
← STEPHEN TIMOTHY CLARKEAdvisorregistration: current employment
Jun 6, 2019 to presentfactForm ADV
← EDWIN SIDNEY MARTINAdvisorregistration: current employment
Jun 6, 2019 to presentfactForm ADV
← TRICIA HUNTER MUSTICOAdvisorregistration: current employment
Jun 6, 2019 to presentfactForm ADV

Controls (4)

← BOST, ANITA, KEYSEROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 18, 2019 to Feb 29, 2024factForm ADV
← KAUFMAN, WESLEY, BRENTOwnerOWNER, ownership code E, individual
Jan 18, 2019 to Feb 29, 2024factForm ADV
← CLARKE, STEPHEN, TIMOTHYOwnerOWNER, ownership code E, individual
Jan 18, 2019 to Feb 29, 2024factForm ADV
← MARTIN, EDWIN, SIDNEYOwnerOWNER, ownership code E, individual
Jan 18, 2019 to Feb 29, 2024factForm ADV

Owns (4)

← GURLEY, BENJAMIN, FOWLEROwnerDIRECTOR, ownership code A, individual
Jan 18, 2019 to Feb 29, 2024factForm ADV
← E. SIDNEY MARTIN LLCOwnerOWNER, ownership code C, domestic entity
Jan 18, 2019 to Feb 29, 2024factForm ADV
← STEPHEN T. CLARKE LLCOwnerOWNER, ownership code C, domestic entity
Jan 18, 2019 to Feb 29, 2024factForm ADV
← WESLEY B. KAUFMAN LLCOwnerOWNER, ownership code C, domestic entity
Jan 18, 2019 to Feb 29, 2024factForm ADV

Moved with (1)

← WELLS FARGO ADVISORSRegistered adviser5 advisors, team lift out
Jun 5, 2019 to Jun 7, 2019factForm ADV

Dated events

Occurred
Feb 6, 2026
Advisor headcount changed
Heartwood Wealth Advisors, Llc reported 10 state-registered advisory representatives, up from 0 (2025-05-20 to 2026-02-06)
Form ADVobserved 5 days ago
10 IARS
Occurred
Jan 18, 2019
First Form ADV filing
Heartwood Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2dd6842a-a2c3-2828-77c9-ac848ee2240e
First observed: Jan 18, 2019
Last observed: Apr 30, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HEARTWOOD WEALTH ADVISORS, LLC

CRD 300273

RICHMOND, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2dd6842a-a2c3-2828-77c9-ac848ee2240e

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:50 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WESLEY BRENT KAUFMAN

Certified Financial Planner

RICHMOND, VA

STEPHEN TIMOTHY CLARKE

n/a

RICHMOND, VA

EDWIN SIDNEY MARTIN

n/a

RICHMOND, VA

TRICIA HUNTER MUSTICO

n/a

RICHMOND, VA

BENJAMIN FOWLER GURLEY

Certified Financial Planner

RICHMOND, VA

yes

SARAH FERGUSON HARRIS

n/a

Richmond, VA | RICHMOND, VA

Susan Musselman Norfleet

Personal Financial Specialist

RICHMOND, VA

n/a

BRIAN M CANN

Chartered Financial Analyst

RICHMOND, VA

n/a

KATHRYN Jefferson PRUITT

n/a

RICHMOND, VA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLARKE, STEPHEN, TIMOTHY

MANAGING DIRECTOR

yes

01/2019

Apr 30, 2026

KAUFMAN, WESLEY, BRENT

MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER

yes

01/2019

Apr 30, 2026

MARTIN, EDWIN, SIDNEY

MANAGING DIRECTOR

yes

01/2019

Apr 30, 2026

BOST, ANITA, KEYSER

CHIEF COMPLIANCE OFFICER

yes

01/2019

Jan 18, 2019

Feb 29, 2024

CLARKE, STEPHEN, TIMOTHY

Owner

yes

01/2013

Jan 18, 2019

Feb 29, 2024

KAUFMAN, WESLEY, BRENT

Owner

yes

01/2013

Jan 18, 2019

Feb 29, 2024

MARTIN, EDWIN, SIDNEY

Owner

yes

01/2013

Jan 18, 2019

Feb 29, 2024

E. SIDNEY MARTIN LLC

Owner

01/2019

Apr 30, 2026

GURLEY, BENJAMIN, FOWLER

MANAGING DIRECTOR

01/2019

Apr 30, 2026

STEPHEN T. CLARKE LLC

Owner

01/2019

Apr 30, 2026

WESLEY B. KAUFMAN LLC

Owner

01/2019

Apr 30, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SUSAN M NORFLEET

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 30, 2026

$1.5B

$1.4B

n/a

2024

Mar 4, 2025

$1.3B

$1.2B

n/a

2023

Feb 29, 2024

$1.1B

$1.0B

n/a

2022

Feb 17, 2023

$983M

$877M

n/a

2021

Feb 1, 2022

$1.0B

$907M

n/a

2020

Mar 29, 2021

$881M

$794M

n/a

2019

Mar 24, 2020

$751M

$669M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.5B

$1.3B

18.9%

$983M

16.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Jun 5, 2019

Jun 7, 2019

RICHMOND, VA

Team lift out

Wirehouse to new firm

0.4%