{ "crd_number": 109552, "slug": "horizon-investments-llc-charlotte-nc-109552", "primary_business_name": "HORIZON INVESTMENTS LLC", "legal_name": "HORIZON INVESTMENTS LLC", "dbas": [], "city": "Charlotte", "state": "NC", "country": "United States", "cbsa_code": "16740", "metro": { "cbsa_code": "16740", "common_name": "Charlotte", "msa_name": "Charlotte-Concord-Gastonia, NC-SC", "path": "/advisors/nc/charlotte" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2000-02-24", "years_registered": 26, "period": "2026-10-01", "filing_date": "2026-03-16", "carried_forward": false, "raum_total": 8471813621.0, "raum_discretionary": 8285141394.0, "raum_non_discretionary": 186672227.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 76, "advisory_employees": 23, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 538538102.0, "count": 1438 }, "investment_companies": { "raum": 7714473680.0, "count": 26 }, "other_investment_advisers": { "raum": 186672227.0, "count": 1, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 32129612.0, "count": 2 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "other", "portfolio_management_individuals", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://horizoninvestments.com", "https://linkedin.com/COMPANY/HORIZON-INVESTMENTS", "https://pro.horizoninvestments.com", "https://twitter.com/HORIZONINVEST", "https://youtube.com/c/HorizonInvestments" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109552", "city_as_filed": "CHARLOTTE", "url": "https://advisorcensus.com/firm/horizon-investments-llc-charlotte-nc-109552", "display_name": "Horizon Investments LLC", "summary": "Horizon Investments LLC is an SEC-registered investment advisory firm in Charlotte, NC, registered since 2000, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 16, 2026.", "citation": "AdvisorCensus. Horizon Investments LLC (CRD 109552): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)", "Other" ], "quick_answers": [ { "q": "How is Horizon Investments LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Horizon Investments LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Horizon Investments LLC located?", "a": "Horizon Investments LLC's principal office is in Charlotte, NC, according to its Form ADV." }, { "q": "Is Horizon Investments LLC registered with the SEC or a state?", "a": "Horizon Investments LLC is an SEC-registered investment advisory firm, registered since 2000. Status as filed: Approved. CRD 109552." }, { "q": "How much does Horizon Investments LLC manage?", "a": "Horizon Investments LLC reports $8,471,813,621 in regulatory assets under management in its Form ADV filing dated March 16, 2026 (98% discretionary)." }, { "q": "How have Horizon Investments LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Horizon Investments LLC: Regulatory assets under management: $3,409,441,046 in the October 2021 data and $8,471,813,621 in the October 2026 data, up 148%. Total employees: 65 in October 2021 and 76 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Horizon Investments LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,438); investment companies (26); pooled investment vehicles (other than investment companies and business development companies) (2)." }, { "q": "Which custodians does Horizon Investments LLC use?", "a": "Horizon Investments LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos Clearing LLC, National Financial Services LLC and Pershing LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Horizon Investments LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109552" }, { "q": "What changed in Horizon Investments LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 20 to 23. Regulatory assets under management went from $5,357,028,030 to $8,471,813,621 (+58%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 3409441046.0, "total_employees": 65, "filing_date": "2021-03-18" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4045965161.0, "total_employees": 70, "filing_date": "2022-03-21" }, { "period": "2023-10-01", "regulatory_assets_under_management": 3816815479.0, "total_employees": 72, "filing_date": "2023-03-27" }, { "period": "2024-10-01", "regulatory_assets_under_management": 4466593018.0, "total_employees": 74, "filing_date": "2024-04-17" }, { "period": "2025-10-01", "regulatory_assets_under_management": 5357028030.0, "total_employees": 74, "filing_date": "2025-03-12" }, { "period": "2026-10-01", "regulatory_assets_under_management": 8471813621.0, "total_employees": 76, "filing_date": "2026-03-16" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 20 to 23.", "Regulatory assets under management went from $5,357,028,030 to $8,471,813,621 (+58%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Axos Clearing LLC", "name_as_filed": "AXOS CLEARING LLC", "affiliated": false }, { "name": "National Financial Services LLC", "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC", "affiliated": false }, { "name": "Pershing LLC", "name_as_filed": "PERSHING LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/horizon-investments-llc-charlotte-nc-109552.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1438, "fewer_than_5": false, "raum": 538538102.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 26, "fewer_than_5": false, "raum": 7714473680.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 32129612.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 1, "fewer_than_5": true, "raum": 186672227.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109552", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }