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.
Horizon Investments LLC
Charlotte, NC
CRD 109552
Firm filing updated March 16, 2026 ·
- $8.5BAssets
- 23Advisory staff
- 1,467Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals1,438
- Investment companies26
- Pooled vehicles2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,438 | $538.5 million |
| Investment companies | 26 | $7.7 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $32.1 million |
| Other investment advisors | Fewer than 5 clients | $186.7 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 investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 4 services
- Other: "CONSULT FOR OTHER FINANCIAL PROFESSIONALS"
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Other: "CONSULT FOR OTHER FINANCIAL PROFESSIONALS"
Assets and accounts
- Regulatory assets$8.5 billion
- Accounts1,467
- Discretionary$8.3 billion · 1,466 accounts
- Non-discretionary$186.7 million · 1 accounts
People
- Employees76
- Advisory staff23
- Broker-dealer reps25
- Licensed insurance agents0
Advisors
17 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 109552, SEC file 801-57316.
- Registered with the SEC as an investment advisor (status date on record: February 24, 2000).
Is Horizon Investments LLC a fiduciary?
Short answer: Horizon Investments LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 25 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
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.