# HEARTWOOD FUNDS, LLC

HEARTWOOD FUNDS, LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 136940
- Type: SEC-registered investment adviser
- SEC file number: 801-66295
- Location: 48 WALL STREET, SUITE 1100, NEW YORK, NY, 10005
- Phone: 212-918-4706
- Latest filing: 2026-03-12
- Regulatory AUM: $317.6M
- Discretionary AUM: $88.9M
- Non-discretionary AUM: $228.7M
- Clients: 2
- Accounts: 3

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: Pooled vehicles, Charities, Investment cos

## Officers, owners & control persons (12)

| Name | Role | Location |
| --- | --- | --- |
| Gregory John Stitt | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | — |
| James Albert Abate | ADMINISTRATOR; MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER, MANAGING MEMBER; SHAREHOLDER | — |
| VAN HORN JAMES THOMAS | NON-EXECUTIVE DIRECTOR | — |
| ABATE JAMES ALBERT | CEO/INVESTMENT DIRECTOR/CHIEF COMPLIANCE OFFICER; CEO/INVESTMENT DIRECTOR/CHIEF COMPLIANCE OFFICER, MANAGING MEMBER; MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER, MANAGING MEMBER (+3 more) | — |
| BOTHWELL MARC | INVESTMENT MANAGER | — |
| BOTHWELL MARC EDWARD | INVESTMENT MANAGER, MEMBER; RISK AND OPERATIONS MANAGER; RISK AND OPERATIONS MANAGER , MEMBER | — |
| SUN JING HUA | INVESTMENT DIRECTOR - GLOBAL EQUITIES, MEMBER | — |
| RUGGIRELLO ROBERT | MEMBER, ANALYST | — |
| PFAFF HENDRIK JURGENS | CHAIRMAN | — |
| ROUX ROBERT | DIRECTOR; DIRECTOR & CHAIRMAN; NON-EXECUTIVE DIRECTOR & CHAIRMAN | — |
| KRIEL DANIEL | DIRECTOR | — |
| BRIESIES REECE | DIRECTOR; NON-EXECUTIVE DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/136940/brochure
- Similar advisers: https://search.stillhousedata.com/firm/136940/similar
- Related entities: https://search.stillhousedata.com/firm/136940/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/136940

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.