{
  "crd_number": 153052,
  "slug": "horizon-technology-finance-farmington-ct-153052",
  "primary_business_name": "HORIZON TECHNOLOGY FINANCE",
  "legal_name": "HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC",
  "dbas": [],
  "city": "Farmington",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "25540",
  "metro": {
    "cbsa_code": "25540",
    "common_name": "Hartford",
    "msa_name": "Hartford-West Hartford-East Hartford, CT",
    "path": "/advisors/ct/hartford"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-03-11",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-06-12",
  "carried_forward": false,
  "raum_total": 811104000.0,
  "raum_discretionary": 811104000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 23,
  "advisory_employees": 14,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 811104000.0,
      "count": 1
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CA",
    "CO",
    "CT",
    "IL",
    "ME",
    "TX",
    "VA"
  ],
  "websites": [
    "https://horizontechfinance.com",
    "https://linkedin.com/company/horizon-technology-finance-corporation/mycompany"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153052",
  "disclosure_items": [
    {
      "item": "11.A(1)",
      "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?"
    },
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    }
  ],
  "city_as_filed": "FARMINGTON",
  "url": "https://advisorcensus.com/firm/horizon-technology-finance-farmington-ct-153052",
  "display_name": "Horizon Technology Finance",
  "summary": "Horizon Technology Finance is an SEC-registered investment advisory firm in Farmington, CT, registered since 2010, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated June 12, 2026.",
  "citation": "AdvisorCensus. Horizon Technology Finance (CRD 153052): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Horizon Technology Finance compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Horizon Technology Finance reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Horizon Technology Finance located?",
      "a": "Horizon Technology Finance's principal office is in Farmington, CT, according to its Form ADV; the July 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Horizon Technology Finance registered with the SEC or a state?",
      "a": "Horizon Technology Finance is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 153052."
    },
    {
      "q": "How much does Horizon Technology Finance manage?",
      "a": "Horizon Technology Finance reports $811,104,000 in regulatory assets under management in its Form ADV filing dated June 12, 2026 (100% discretionary)."
    },
    {
      "q": "How have Horizon Technology Finance's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Horizon Technology Finance: Regulatory assets under management: $429,500,000 in the October 2021 data and $811,104,000 in the October 2026 data, up 89%. Total employees: 26 in October 2021 and 23 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Horizon Technology Finance serve?",
      "a": "By number of clients on Form ADV Item 5.D: business development companies (1)."
    },
    {
      "q": "Does Horizon Technology Finance report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.A(1) (felony conviction or plea in the past ten years) and 11.A(2) (felony charge in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/153052"
    },
    {
      "q": "What changed in Horizon Technology Finance's recent Form ADV filings?",
      "a": "In the July 2026 filing data: Item 11 disclosure answers changed: 2 yes answers, previously 0 (now yes: 11.A(1), 11.A(2))."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 429500000.0,
      "total_employees": 26,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 645210000.0,
      "total_employees": 28,
      "filing_date": "2022-03-14"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1001362000.0,
      "total_employees": 32,
      "filing_date": "2023-09-14"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 802356000.0,
      "total_employees": 33,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 795085000.0,
      "total_employees": 32,
      "filing_date": "2025-07-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 811104000.0,
      "total_employees": 23,
      "filing_date": "2026-06-12"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Item 11 disclosure answers changed: 2 yes answers, previously 0 (now yes: 11.A(1), 11.A(2))."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 21 to 14.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/horizon-technology-finance-farmington-ct-153052.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 811104000.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "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/153052",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}