DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

HORIZONS FINANCIAL GROUP, INC.

CRD 135432

BIRMINGHAM, AL

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:4f831b61-e6e1-69c6-8f66-ec5c0d60b312

Data as of Jun 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Jun 12, 2012
2 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $10.5MItem 5.F on the latest filing (2012-06-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 40
SEC number: 801-69134
CRD: 135432
Filings on the tape: 2
First filed: Mar 22, 2012
Latest filed: Jun 12, 2012
Organised: Corporation, Alabama

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
CARTER, JAMES, SIDNEY	CHIEF COMPLIANCE OFFICER	Na	yes	12/2011	Mar 22, 2012	Jun 12, 2012
MASHBURN, MICHAEL, CLAY	DIRECTOR, TREASURER	D	yes	06/2006	Mar 22, 2012	Jun 12, 2012
NIX, JAMES, CLINTON	DIRECTOR, SECRETARY	D	yes	06/2006	Mar 22, 2012	Jun 12, 2012

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
2011	Mar 22, 2012	$10.5M	$0	n/a	n/a	n/a	n/a	n/a

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
2011	$10.5M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	3	Mar 25, 2020	Mar 26, 2020	BIRMINGHAM, AL	Firm absorbed	Other	100.0%

Relationships

Controls (3)

← NIX, JAMES, CLINTONOwnerDIRECTOR, SECRETARY, ownership code D, individual
Mar 22, 2012 to presentfactForm ADV
← MASHBURN, MICHAEL, CLAYOwnerDIRECTOR, TREASURER, ownership code D, individual
Mar 22, 2012 to presentfactForm ADV
← CARTER, JAMES, SIDNEYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV

Moved with (1)

→ LPL FINANCIAL LLCRegistered adviser3 advisors, firm absorbed, same day
Mar 25, 2020 to Mar 26, 2020factForm ADV

Registered with (4)

← JAMES CLINTON NIXAdvisorregistration: previous registration
Jan 7, 2008 to Mar 25, 2020factForm ADV
← MICHAEL CLAY MASHBURNAdvisorregistration: previous registration
Jan 7, 2008 to Mar 25, 2020factForm ADV
← JAMES SIDNEY CARTERAdvisorregistration: previous registration
Dec 2, 2010 to Mar 25, 2020factForm ADV
← TRAVIS Michael SHERMANAdvisorregistration: previous registration
Jul 9, 2015 to Mar 24, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f831b61-e6e1-69c6-8f66-ec5c0d60b312
First observed: Mar 22, 2012
Last observed: Jun 12, 2012 173 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 FINANCIAL GROUP, INC.

CRD 135432

BIRMINGHAM, AL

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:4f831b61-e6e1-69c6-8f66-ec5c0d60b312

Data as of Jun 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:00 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARTER, JAMES, SIDNEY

CHIEF COMPLIANCE OFFICER

yes

12/2011

Mar 22, 2012

Jun 12, 2012

MASHBURN, MICHAEL, CLAY

DIRECTOR, TREASURER

yes

06/2006

Mar 22, 2012

Jun 12, 2012

NIX, JAMES, CLINTON

DIRECTOR, SECRETARY

yes

06/2006

Mar 22, 2012

Jun 12, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 22, 2012

$10.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$10.5M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Mar 25, 2020

Mar 26, 2020

BIRMINGHAM, AL

Firm absorbed

Other

100.0%