Heartwood Funds, Llc
- Regulatory AUM
- $318M
- Discretionary
- $88.9M
- Clients
- 3
- Avg AUM / client
- $106M
- Accounts
- 3
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 12, 2026
Investments (13F portfolio — 70 positions, $388,899)
13F period Mar 31, 2025| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Apple Inc | COM | $26,100 | 117,497 | 6.71% | 0.01% |
| 2 | Microsoft Corp | COM | $20,213 | 53,846 | 5.2% | 0.01% |
| 3 | Nvidia Corp | COM | $19,343 | 178,472 | 4.97% | 0.01% |
| 4 | Amazon.Com Inc | COM | $14,182 | 74,540 | 3.65% | 0.0% |
| 5 | Alphabet Inc | COM | $13,531 | 87,087 | 3.48% | 0.0% |
| 6 | Paramount Global | COM | $11,923 | 996,892 | 3.07% | 0.0% |
| 7 | Medtronic Plc | COM | $11,100 | 123,520 | 2.85% | 0.0% |
| 8 | Altria Group Inc | COM | $10,426 | 173,715 | 2.68% | 0.0% |
| 9 | Meta Platforms Inc | COM | $10,326 | 17,916 | 2.66% | 0.0% |
| 10 | Tyson Foods Inc | COM | $9,658 | 151,356 | 2.48% | 0.0% |
| 11 | Pfizer Inc | COM | $9,408 | 371,257 | 2.42% | 0.0% |
| 12 | Amgen Inc | COM | $9,060 | 29,082 | 2.33% | 0.0% |
| 13 | International Flavors & Fragrances Inc | COM | $9,045 | 116,546 | 2.33% | 0.0% |
| 14 | Mc Cormick & Company Inc | COM | $8,895 | 108,071 | 2.29% | 0.0% |
| 15 | Jazz Pharmaceuticals Plc | COM | $8,776 | 70,692 | 2.26% | 0.0% |
| 16 | United States Steel Corp | COM | $8,758 | 207,242 | 2.25% | 0.0% |
| 17 | Adobe Inc | COM | $8,727 | 22,754 | 2.24% | 0.0% |
| 18 | Hasbro Inc | COM | $8,638 | 140,472 | 2.22% | 0.0% |
| 19 | United Parcel Service Inc | COM | $8,360 | 76,011 | 2.15% | 0.0% |
| 20 | Fmc Corp | COM | $8,072 | 191,320 | 2.08% | 0.0% |
| 21 | Colgate Palmolive Co | COM | $7,989 | 85,258 | 2.05% | 0.0% |
| 22 | Clorox Co | COM | $7,816 | 53,077 | 2.01% | 0.0% |
| 23 | Biogen Inc | COM | $7,785 | 56,894 | 2.0% | 0.0% |
| 24 | Hexcel Corp | COM | $7,755 | 141,614 | 1.99% | 0.0% |
| 25 | Regeneron Pharmaceuticals Inc | COM | $7,740 | 12,203 | 1.99% | 0.0% |
Top 25 of 70 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 2 | $88.9M | 28.0% |
| Sovereign wealth funds and foreign official institutions | 1 | $229M | 72.0% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $65.0M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Sanlam Centre Africa Equity Fund, Ltd | Other Private Fund | Cayman Islands | $52.0M | 3 |
| Heartwood Segregated Model Portfolio Companies Spc | Other Private Fund | Cayman Islands | $13.0M | 2 |
People (1)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Abate, James, Albert | Managing Director/Chief Investment Officer/Chief Compliance Officer, Managing Member | Dec 2005 (21y) | 75% or more |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sanlam International Investments Usa Holdings, Inc. | Member | Sep 2010 | A | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (2, $65.0M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Sanlam Centre Africa Equity Fund, Ltd | Other Private Fund | $52.0M | $5.0M | 3 |
| Heartwood Segregated Model Portfolio Companies Spc | Other Private Fund | $13.0M | $100K | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/12/2026 | 1.32 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 12, 2026.
View current Form ADV (SEC/IAPD) ↗