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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

CRD 164970

SANTA FE, NM

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4a552c62-6b22-5a9e-bb4b-e201e52036df

Data as of Jan 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Feb 22, 2021 to Jan 14, 2026
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $151MItem 5.F on the latest filing (2026-01-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $151M
Private client RAUM: $150MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $25.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 6
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 314
Individual clients: 209
High net worth clients: 101
SEC number: 801-120599
CRD: 164970
Filings on the tape: 11
First filed: Feb 22, 2021
Latest filed: Jan 14, 2026
Organised: Corporation, NM

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
FREDERIC PAUL PERRET	n/a	SANTA FE, NM \| Birmingham, AL	6	31	2	no
ALAN DALE GAMMEL	Certified Financial Planner	Puyallup, WA	5	41	3	no
Valeria Genese Cera Primero	n/a	SANTA FE, NM	1	12	n/a	no
JOHANN ALBERT KLAASSEN	Certified Financial Planner	SANTA FE, NM	1	25	3	no
Prisma Avery	n/a	Santa Fe, NM	1	15	n/a	no
Megan Elizabeth Buchanan	Certified Financial Planner	SANTA FE, NM \| Milwaukie, OR	1	12	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KLAASSEN, JOHANN, ALBERT	PRESIDENT/PRESIDENT/PRINCIPAL SHAREHOLDER/CHIEF COMPLIANCE OFFICER	D	yes	01/2023	Feb 22, 2021	Jul 3, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Birmingham	Al	United States	1	no
n/a	n/a	n/a	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 14, 2026	$151M	$151M	7	6	5	n/a	n/a
2024	Mar 24, 2025	$132M	$131M	7	6	5	n/a	n/a
2023	Mar 6, 2024	$134M	$134M	5	4	3	n/a	n/a
2022	Mar 30, 2023	$111M	$111M	6	4	3	n/a	n/a
2021	Mar 25, 2022	$116M	$115M	7	6	5	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	16.7%	0	1	0	1	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$151M	$132M	14.6%	$111M	10.8%	7	7	5	5

Relationships

Registered with (7)

← Megan Elizabeth BuchananAdvisorregistration: current employment
May 14, 2025 to presentfactForm ADV
← Prisma AveryAdvisorregistration: current employment
Jan 27, 2025 to presentfactForm ADV
← JOHANN ALBERT KLAASSENAdvisorregistration: previous registration
May 1, 2013 to Dec 31, 2024factForm ADV
← Valeria Genese Cera PrimeroAdvisorregistration: current employment
Sep 23, 2024 to presentfactForm ADV
← ALAN DALE GAMMELAdvisorregistration: current employment
Jun 7, 2021 to presentfactForm ADV
← FREDERIC PAUL PERRETAdvisorregistration: current employment
Aug 14, 2020 to presentfactForm ADV
← Jacob IfshinAdvisorregistration: previous registration
Oct 1, 2024 to Jul 2, 2026factForm ADV

Controls (1)

← KLAASSEN, JOHANN, ALBERTOwnerPRESIDENT/PRESIDENT/PRINCIPAL SHAREHOLDER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 22, 2021 to Jul 3, 2024factForm ADV

Dated events

Occurred
Jul 2, 2026
Advisor changed firm
Jacob Ifshin left Horizons Sustainable Financial Services, Inc. for Impact Investors (registered 2026-08-19)
Form ADVobserved 3 days ago
Occurred
Mar 30, 2023
Control person left
Ann Kimberly Griego-Kiel (Shareholder/Principal/President/Chief Compliance Officer) no longer on Schedule A of Horizons Sustainable Financial Services, Inc. (listed 2022-10-06, absent 2023-03-30)
Form ADVobserved 3 days ago
Occurred
Feb 22, 2021
First Form ADV filing
Horizons Sustainable Financial Services, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a552c62-6b22-5a9e-bb4b-e201e52036df
First observed: Feb 22, 2021
Last observed: Jan 14, 2026 8 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

CRD 164970

SANTA FE, NM

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4a552c62-6b22-5a9e-bb4b-e201e52036df

Data as of Jan 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:48 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

FREDERIC PAUL PERRET

n/a

SANTA FE, NM | Birmingham, AL

ALAN DALE GAMMEL

Certified Financial Planner

Puyallup, WA

Valeria Genese Cera Primero

n/a

SANTA FE, NM

n/a

JOHANN ALBERT KLAASSEN

Certified Financial Planner

SANTA FE, NM

Prisma Avery

n/a

Santa Fe, NM

n/a

Megan Elizabeth Buchanan

Certified Financial Planner

SANTA FE, NM | Milwaukie, OR

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KLAASSEN, JOHANN, ALBERT

PRESIDENT/PRESIDENT/PRINCIPAL SHAREHOLDER/CHIEF COMPLIANCE OFFICER

yes

01/2023

Feb 22, 2021

Jul 3, 2024

City

State

Country

Employees

Also broker-dealer

Birmingham

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 14, 2026

$151M

n/a

2024

Mar 24, 2025

$132M

$131M

n/a

2023

Mar 6, 2024

$134M

n/a

2022

Mar 30, 2023

$111M

n/a

2021

Mar 25, 2022

$116M

$115M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

16.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$151M

$132M

14.6%

$111M

10.8%