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CRD 116296
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BREEN, WILLIAM, JAMES | SR. INVESTMENT STRATEGIST | C | yes | 08/2008 | Mar 30, 2012 | Mar 27, 2014 |
| CANNON, ROBERT, JOSEPH | MANAGING MEMBER/ PRESIDENT & CEO | E | yes | 04/1999 | Mar 30, 2012 | Mar 27, 2014 |
| CANNON, ROBERT, JOSEPH | PRESIDENT AND CEO | Na | yes | 08/2008 | Mar 30, 2012 | Mar 27, 2014 |
| HORIZON INVESTMENTS LLC | Owner | C | yes | 08/2008 | Mar 30, 2012 | Mar 27, 2014 |
| JOHNSON, BENJAMIN, EDWARD | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2009 | Mar 30, 2012 | Mar 27, 2014 |
| BREEN, JAMES, THOMAS | DIRECTOR OF SALES | Na | no | 08/2008 | Mar 30, 2012 | Mar 27, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| HORIZON INVESTMENTS LLC | n/a | Asset manager | $8.5B | Y | yes | n/a |
| HORIZON FIDUCIARY SERVICES, LLC | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Mar 27, 2014 | $0 | $0 | 4 | 3 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $415,408 | $415,408 | 4 | 3 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $3.9M | $3.9M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $0 | $415,408 | -100.0% | n/a | n/a | 4 | 4 | n/a | n/a |