AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KP

Kathryn J. Pruitt

HEARTWOOD WEALTH ADVISORS
RICHMOND, VA 23235
Some features on this profile are disabled
CRD#: 4676801
KP

Professional summary

Kathryn Jefferson Pruitt, who also goes by Kathry Dianne Jefferson, Kathryn Dianne Jefferson, Kathryn Jefferson Pruitt, Kathryn Pruitt, is a registered financial advisor currently at HEARTWOOD WEALTH ADVISORS, LLC located in Richmond, Virginia.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kathryn has worked at 5 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 31 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathry Dianne Jefferson | Kathryn Dianne Jefferson | Kathryn Jefferson Pruitt | Kathryn Pruitt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Notary Public, Not investment related, State of Virginia, Notarize documents, start date 03/2019, less than 1 hour devoted per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Jefferson Pruitt's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 30, 2024 - Present

HEARTWOOD WEALTH ADVISORS, LLC

Office #1: 9020 Stony Point Parkway Suite 325, Richmond, VA 23235
RIA
CRD#: 300273
RICHMOND, VA
Past

July 11, 2016 - January 2, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
RICHMOND, VA
Past

July 3, 2014 - July 5, 2016

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
RICHMOND, VA
Past

August 15, 2005 - January 19, 2007

DAVENPORT & COMPANY LLC

RIA
CRD#: 1588
RICHMOND, VA
Past

August 15, 2005 - January 19, 2007

DAVENPORT & COMPANY LLC

BD
CRD#: 1588
RICHMOND, VA
Past

November 15, 2004 - August 4, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA
CRD#: 6555
BALTIMORE, MD
Past

March 25, 2004 - August 4, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HW
HEARTWOOD WEALTH ADVISORS, LLC
HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273 / SEC#: 801-114721

RIA
Registered Investment Advisory firm - (2/21/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Virginia
(7/30/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/30/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/25/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/13/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 11/14/2005
Futures Managed Funds Examination

Current Firm

HW
HEARTWOOD WEALTH ADVISORS, LLC
HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273 / SEC#: 801-114721

RIA
Registered Investment Advisory firm - (2/21/2019 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9020 Stony Point Parkway Suite 325, Richmond, VA 23235
Mailing Address
Phone number
(804) 269-8711
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM ADVISORY BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts1,709
AUM (Assets Under Management)$ 1,302,509,037

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/29/2025
Cover Page
Report
09/17/2024
Cover Page
Report
09/18/2023
Cover Page
Report
10/24/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273Richmond, VA 23235

TRUST BUT VERIFY

Monitor Kathryn Pruitt

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Karen Anne Jones
Karen JonesAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Richmond, VA
JM
Joseph McveyAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Powhatan, VA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.