# Horizons Sustainable Financial Services, Inc.

> Horizons Sustainable Financial Services, Inc. is an SEC-registered investment advisory firm in Santa Fe, NM, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 14, 2026.

- CRD: 164970
- Filed as: HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Santa Fe, NM
- Filing period: October 2026
- Form ADV filing dated: January 14, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/164970
- AdvisorCensus page: https://advisorcensus.com/firm/horizons-sustainable-financial-services-inc-santa-fe-nm-164970

## Quick answers

**How is Horizons Sustainable Financial Services, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Horizons Sustainable Financial Services, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Horizons Sustainable Financial Services, Inc. located?**
Horizons Sustainable Financial Services, Inc.'s principal office is in Santa Fe, NM, according to its Form ADV; the February 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Horizons Sustainable Financial Services, Inc. registered with the SEC or a state?**
Horizons Sustainable Financial Services, Inc. is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 164970.

**How much does Horizons Sustainable Financial Services, Inc. manage?**
Horizons Sustainable Financial Services, Inc. reports $151,158,000 in regulatory assets under management in its Form ADV filing dated January 14, 2026 (100% discretionary).

**How have Horizons Sustainable Financial Services, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Horizons Sustainable Financial Services, Inc.: Regulatory assets under management: $118,585,564 in the October 2021 data and $151,158,000 in the October 2026 data, up 27%. Total employees: 6 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Horizons Sustainable Financial Services, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (209); high net worth individuals (101).

**Which custodians does Horizons Sustainable Financial Services, Inc. use?**
Horizons Sustainable Financial Services, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Goldman Sachs Custody Solutions as custodians holding 10% or more of its separately managed account assets.

**Does Horizons Sustainable Financial Services, Inc. report any disciplinary disclosures?**
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/164970

**What changed in Horizons Sustainable Financial Services, Inc.'s recent Form ADV filings?**
In the February 2026 filing data: Regulatory assets under management went from $131,873,325 to $151,158,000 (+15%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Goldman Sachs Custody Solutions

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.

### Regulatory assets under management (Item 5.F)
- Total: $151,158,000
- Discretionary: $150,825,000
- Non-discretionary: $333,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 209 | $25,594,000 |
| High net worth individuals | 101 | $124,898,000 |
| Charitable organizations | Fewer than 5 | $666,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2021 (5 years)
- Employees: 7 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, CA, CO, NM, OR, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the February 2026 filing
- Birmingham, AL

### Websites listed on Form ADV (Item 1.I)
- deepimpactinvesting.blubrry.net
- hathawayfinancialservices.com
- horizonssfs.com
- Facebook @horizonssustainablefinancialservices
- LinkedIn @horizons-sustainable-financial-services-inc-

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $118,585,564 | 6 | February 22, 2021 |
| October 2022 | $115,530,573 | 7 | June 14, 2022 |
| October 2023 | $111,161,223 | 6 | March 30, 2023 |
| October 2024 | $134,076,856 | 5 | July 3, 2024 |
| October 2025 | $131,873,325 | 7 | March 24, 2025 |
| October 2026 | $151,158,000 | 7 | January 14, 2026 |

Regulatory assets under management: $118,585,564 in the October 2021 data and $151,158,000 in the October 2026 data, up 27%.
Total employees: 6 in October 2021 and 7 in October 2026.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $131,873,325 to $151,158,000 (+15%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Horizons Sustainable Financial Services, Inc. (CRD 164970): Form ADV filing data as of October 2026.