SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Horiko Capital Management LLC
New York, NY
CRD 126343
Firm filing updated March 3, 2026 ·
- $475.1MAssets
- 3Advisory staff
- 6Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Performance-based feesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Investment companies2
- Pooled vehicles2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | Fewer than 5 clients | $116.1 million |
| Investment companies | 2 | $110.0 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $248.9 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Other: "CONSULTING, SPEAKING ENGAGEMENTS, APPEARANCES"
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Other: "CONSULTING, SPEAKING ENGAGEMENTS, APPEARANCES"
Assets and accounts
- Regulatory assets$475.1 million
- Accounts6
- DiscretionaryAll accounts
People
- Employees6
- Advisory staff3
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients0
Registration details
- SEC-registered investment advisor. CRD 126343, SEC file 801-111811.
- Registered with the SEC as an investment advisor (status date on record: October 6, 2017).
Is Horiko Capital Management LLC a fiduciary?
Short answer: Horiko Capital Management LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.