DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Horizon Investments LLC
Latest filing Mar 16, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Feb 24, 2000
RAUM
$8.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
6.4%
$539M individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
$314M
derived; firm RAUM over IAPD count
Employees
76
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$8.5B as of Mar 16, 2026
Mar 30, 2012$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)23 as of Mar 16, 2026
Mar 28, 20130 then
Employees (5.A)76 as of Mar 16, 2026
Mar 28, 201326 then
Private funds: no history
RAUM +58% over the last fiscal year+30% a year over threeIARs 26 to 23
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $314MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $5.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 27.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$7.7B91%
- Individuals$539M6.4%
- Other investment advisers$187M2.2%
- Pooled investment vehicles$32.1M0.4%
- Individual clients
- 1,438reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,467reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $49.2M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.06 fund_share=0.94 institutional_share=0.0 related_bd=false related_bank=false bd_reps=25.0derived
Advisors registered through the firm
27 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Benjamin Edward Johnson | Charlotte, Nc | Nov 19, 2009 | 18 y | 0 |
| Robert Paul Shanahan | Charlotte, Nc | May 23, 2011 | 29 y | 1 |
| Austin Michael Fitch | Charlotte, Nc | Aug 24, 2011 | 15 y | 0 |
| Scott Evan Ladner | Charlotte, Nc | Jan 1, 2012 | 26 y | 0 |
| Carlos Edward Barbosa | Charlotte, Nc | Jan 30, 2017 | 24 y | 1 |
| John Marc Pifer | Charlotte, Nc | Jul 10, 2017 | 19 y | 0 |
| Danielle Learned | Charlotte, Nc | Nov 30, 2018 | 14 y | 2 |
| Shawn Eric Rumsey | Charlotte, Nc | Jul 9, 2019 | 11 y | 0 |
| John Henry Bryant | Charlotte, Nc | Jul 29, 2019 | 11 y | 1 |
| Casey R Robert HazenChartered Financial Analyst | Charlotte, Nc | Sep 4, 2020 | 12 y | 1 |
| Jason Cole Storjohann | Charlotte, Nc | Nov 25, 2020 | 29 y | 3 |
| Matthew Benjamin TerryCertified Financial Planner | Charlotte, Nc | Aug 16, 2021 | 20 y | 4 |
| Scott Michael Albright | Charlotte, Nc | Aug 24, 2021 | 24 y | 6 |
| James N Wolfe | Charlotte, Nc | Mar 7, 2022 | 21 y | 1 |
| Eric Anthony | Charlotte, Nc | Apr 8, 2022 | 13 y | 1 |
| Thomas K Lyons | Charlotte, Nc | Jun 6, 2022 | 9 y | 1 |
| Jacob Lee Silverstein | Charlotte, Nc | Dec 19, 2022 | 14 y | 0 |
| Bradford Peter Murphy | Charlotte, Nc | Feb 1, 2024 | 19 y | 2 |
| Adam Richard Mattson | Charlotte, Nc | Jan 3, 2025 | 14 y | 0 |
| Scott Charles Ferrette | San Francisco, Ca | Aug 11, 2025 | 17 y | 0 |
| Katelyn Danielle Price | Charlotte, Nc | Oct 23, 2025 | 11 y | 0 |
| Jacob Pierce Morgan | Charlotte, Nc | Oct 23, 2025 | 12 y | 0 |
| Jeffrey M StirlingCertified Financial Planner | Charlotte, Nc | Nov 10, 2025 | 14 y | 1 |
| Sean O'Brien | Charlotte, Nc | Feb 17, 2026 | 10 y | 0 |
| Alket Kociaj | Charlotte, Nc | Mar 6, 2026 | 12 y | 1 |
| Emmett Houlihan | Charlotte, Nc | Mar 31, 2026 | 10 y | 0 |
| Jason Circelli | Charlotte, Nc | Jul 2, 2026 | 11 y | 3 |
Advisor movement
3 left, 3 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 11% of current headcount7 left over 36 months
Left, latest
- Dimitri Clyde Redwood to Corecap AdvisorsMar 3, 2026 · Other
- Gregory Manning to Wells Fargo AdvisorsDec 2, 2025 · Other
- Tucker Alston Macmillan to Allspring Funds Management, LLCOct 8, 2025 · Other
- Arvin Shiribabadi to Edward JonesJun 5, 2025 · Other
- Bradley Patrick Stoehr to Cambridge Investment Research Advisors, Inc.Sep 16, 2024 · Other
- Joshua Samuel Bartholomew to Kestra Advisory Services, LLCSep 25, 2023 · Other
- Alice Ann Heath to Sei Investments Management CorpSep 21, 2023 · Other
- Christian M Oconnor to Assetmark, Inc.Jan 4, 2023 · Other
- Matthew J Scanlon to T. Rowe Price Associates, Inc.Oct 22, 2021 · Other
- Aaron Siegel to Invesco Advisers, Inc.Aug 27, 2020 · Other
- Patrick Carter Hauer to Wilson David Investment AdvisorsOct 20, 2017 · Other
- Daniel Patrick Otoole to Meeder Asset Management, Inc.Oct 20, 2017 · Other
- Chris Joseph Engel to Advisors Capital Management, LLCAug 21, 2017 · Other
- James Thomas Breen to Amp Wealth ManagementNov 11, 2016 · Other
- Jess Elliot Bennett to Bennett Financial Advisors, LLCNov 19, 2008 · Other
Joined, latest
- Jason Circelli from Pacer Advisors, Inc.Jul 2, 2026 · Other
- Alket Kociaj from UBS Financial Services Inc.Mar 6, 2026 · Other
- Jeffrey M Stirling from Equitable Advisors, LLCNov 10, 2025 · Other
- Bradford Peter Murphy from Morningstar Investment Services LLCFeb 1, 2024 · Other
- Dimitri Clyde Redwood from Florida Financial Advisors, LLCDec 13, 2022 · Other
- Thomas K Lyons from Novem GroupJun 6, 2022 · Other
- Eric Anthony from Creative PlanningApr 8, 2022 · Other
- James N Wolfe from Primerica AdvisorsMar 7, 2022 · Other
- Matthew Benjamin Terry from Symmetry PartnersAug 16, 2021 · Other
- Christian M Oconnor from Symmetry PartnersAug 16, 2021 · Other
- Jason Cole Storjohann from Russell InvestmentsNov 25, 2020 · Other
- Casey R Robert Hazen from UBS Financial Services Inc.Sep 4, 2020 · Other
- John Henry Bryant from Advice And Planning ServicesJul 29, 2019 · Other
- Danielle Learned from LPL Financial LLCNov 30, 2018 · Other
- Carlos Edward Barbosa from First Trust Advisors LPJan 30, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Matthew Chambers · General Counsel And Chief Compliance Officercontrolsince 12/2014 · owns less than 5%
- G Calvin Deboer · Coo / Ctocontrolsince 07/2022 · owns less than 5%
- Noel John Drahzal · President And Ceo; Managercontrolsince 11/2021 · owns less than 5%
- Andrew Stephen Terry · Chief Financial Officercontrolsince 11/2021 · owns less than 5%
- Evan Scott Ladner · Chief Investment Officersince 02/2018 · owns less than 5%
- Danielle Learned · Chief Of Staffsince 01/2022 · owns less than 5%
Entity owners
- Horizon Parent Holdings, LLC · Memberdirect · owns 75% or more
- Acp Horizon Holdings LP · Memberindirect · owns 50% to 75% of Horizon Parent Holdings, LLC
- Acp Investment Fund Management, LLC · General Partnerindirect · owns F of Acp Horizon Holdings LP
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 27 | 7 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 16, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-03-12, yes on the filing of 2026-03-16peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 1,481 to 1,467Mar 12, 2025 to Mar 16, 2026
- Advisory employees · 20 to 23Mar 12, 2025 to Mar 16, 2026
- Advisory activities · 3 to 4Mar 12, 2025 to Mar 16, 2026
- BD registered reps · 29 to 25Mar 12, 2025 to Mar 16, 2026
- Individual clients · 1,468 to 1,438Mar 12, 2025 to Mar 16, 2026
- Pooled vehicle clients · unset to 2.0Mar 12, 2025 to Mar 16, 2026
- Employees · 74 to 76Mar 12, 2025 to Mar 16, 2026
- State-registered IARs · 26 to 23Mar 12, 2025 to Mar 16, 2026
- Discretionary RAUM · $5.1B to $8.3BMar 12, 2025 to Mar 16, 2026
- Individual RAUM · $352M to $539MMar 12, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $277M to $187MMar 12, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · unset to 32129612.0Mar 12, 2025 to Mar 16, 2026
- RAUM · $5.4B to $8.5BMar 12, 2025 to Mar 16, 2026
- Wrap assets (manager) · $58.3M to $49.2MMar 12, 2025 to Mar 16, 2026
- Accounts · 3,367 to 1,481Apr 17, 2024 to Mar 12, 2025
- Advisory employees · 18 to 20Apr 17, 2024 to Mar 12, 2025
- BD registered reps · 30 to 29Apr 17, 2024 to Mar 12, 2025
- Individual clients · 1,527 to 1,468Apr 17, 2024 to Mar 12, 2025
- Financial planning clients · unset to Apr 17, 2024 to Mar 12, 2025
- State-registered IARs · 27 to 26Apr 17, 2024 to Mar 12, 2025
- Discretionary RAUM · $4.2B to $5.1BApr 17, 2024 to Mar 12, 2025
- Individual RAUM · $268M to $352MApr 17, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $236M to $277MApr 17, 2024 to Mar 12, 2025
- RAUM · $4.5B to $5.4BApr 17, 2024 to Mar 12, 2025
- Wrap assets (manager) · $66.0M to $58.3MApr 17, 2024 to Mar 12, 2025
- Accounts · 3,414 to 3,367Mar 27, 2023 to Mar 28, 2024
- Advisory employees · 16 to 18Mar 27, 2023 to Mar 28, 2024
- BD registered reps · 31 to 30Mar 27, 2023 to Mar 28, 2024
- Individual clients · 1,561 to 1,527Mar 27, 2023 to Mar 28, 2024
- Employees · 72 to 74Mar 27, 2023 to Mar 28, 2024
- State-registered IARs · 29 to 27Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.6B to $4.2BMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $225M to $268MMar 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $220M to $236MMar 27, 2023 to Mar 28, 2024
- RAUM · $3.8B to $4.5BMar 27, 2023 to Mar 28, 2024
- Wrap assets (manager) · $86.7M to $66.0MMar 27, 2023 to Mar 28, 2024
- Accounts · 4,003 to 3,414Mar 21, 2022 to Mar 27, 2023
- Advisory employees · 15 to 16Mar 21, 2022 to Mar 27, 2023
- Advisory activities · 4 to 3Mar 21, 2022 to Mar 27, 2023
- BD registered reps · 27 to 31Mar 21, 2022 to Mar 27, 2023
Signals
14 dated events
- Horizon Investments Llc reported RAUM $8.5B, up 58% from $5.4B (2025-03-12 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- Dimitri Clyde Redwood left Horizon Investments Llc for Corecap Advisors (registered 2026-06-17)Mar 3, 2026 · Advisor changed firm · fact
- Gregory Manning left Horizon Investments Llc for Wells Fargo Advisors (registered 2026-02-02)Dec 2, 2025 · Advisor changed firm · fact
- Tucker Alston Macmillan left Horizon Investments Llc for Allspring Funds Management, Llc (registered 2025-10-16)Oct 8, 2025 · Advisor changed firm · fact
- Arvin Shiribabadi left Horizon Investments Llc for Edward Jones (registered 2025-06-16)Jun 5, 2025 · Advisor changed firm · fact
- Bradley Patrick Stoehr left Horizon Investments Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-09-16)Sep 16, 2024 · Advisor changed firm · fact
- Joshua Samuel Bartholomew left Horizon Investments Llc for Kestra Advisory Services, Llc (registered 2023-08-01)Sep 25, 2023 · Advisor changed firm · fact
- Alice Ann Heath left Horizon Investments Llc for Sei Investments Management Corp (registered 2023-10-02)Sep 21, 2023 · Advisor changed firm · fact
- G Calvin Deboer (Coo / Cto) appeared on Schedule A of Horizon Investments LlcMar 27, 2023 · Control person joined · fact
- Christian M Oconnor left Horizon Investments Llc for Assetmark, Inc. (registered 2023-02-08)Jan 4, 2023 · Advisor changed firm · fact
- Joseph Robert Cannon (Ceo, Elected Manager) no longer on Schedule A of Horizon Investments Llc (listed 2021-03-18, absent 2021-11-29)Nov 29, 2021 · Control person left · inference
- Andrew Stephen Terry (Chief Financial Officer) appeared on Schedule A of Horizon Investments LlcNov 29, 2021 · Control person joined · fact
- Samuel Joshua Bartholomew (Managing Director, Member) no longer on Schedule A of Horizon Investments Llc (listed 2018-08-02, absent 2019-03-15)Mar 15, 2019 · Control person left · inference
- Byron Ronald Saba (Senior Managing Director Of Investment Management) no longer on Schedule A of Horizon Investments Llc (listed 2018-08-02, absent 2019-03-15)Mar 15, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/HORIZON-INVESTMENTSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pro.horizoninvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-544-2399reportedpublic record, Form ADV, Mar 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $314Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026