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 Wealth Advisors
Legal name Horizon Wealth Advisors, LLC
Latest filing Mar 4, 2026
First filing on the tape Jun 9, 2015 · 15 filings
SEC status approved since Jun 24, 2015
RAUM
$235M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$229M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$39.2M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$235M as of Mar 4, 2026
Feb 16, 2016$119M then
HNW client RAUM$152M as of Mar 4, 2026
Mar 8, 2018$98.9M then
State-registered IARs (5.B.3)6 as of Mar 4, 2026
Feb 16, 20161 then
Employees (5.A)7 as of Mar 4, 2026
Feb 16, 20168 then
Private funds: no history
RAUM +8.3% over the last fiscal year+9.6% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $39.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $364,882derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$152M65%
- Individuals$77.6M33%
- Pension and profit-sharing plans$5.8M2.5%
- Individual clients
- 496reported
- HNW clients
- 71reported
- Pension plan clients
- 15reported
- Charitable clients
- 0reported
- Accounts
- 644reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nicholas James Drizos | Lakewood Ranch, Fl | Oct 17, 2008 | 31 y | 0 |
| Brian Thomas Babcock | Lakewood Ranch, Fl | Sep 21, 2011 | 19 y | 0 |
| Michael Frederick Ferro | Lakewood Ranch, Fl | Jun 8, 2012 | 30 y | 4 |
| Elizabeth Jean WilsonCertified Financial Planner | Lakewood Ranch, Fl | May 4, 2015 | 35 y | 4 |
| Dwight Phillip PendolaCertified Financial Planner | Lakewood Ranch, Fl | Jan 1, 2025 | 18 y | 3 |
| Jeremy Dallas Smith | Lakewood Ranch, Fl | Jan 1, 2025 | 16 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Jeremy Dallas Smith from Rudd Asset ManagementJan 1, 2025 · Other
- Dwight Phillip Pendola from Rudd Asset ManagementJan 1, 2025 · Other
- Elizabeth Jean Wilson from Rudd Asset ManagementMay 4, 2015 · Other
- Michael Frederick Ferro from Brokersxpress LLCJun 8, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Rudd Asset ManagementApr 29, 2015 · Sarasota, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Nicholas Drizos · Ownercontrolsince 08/2008 · owns 75% or more
- Gust Nicholas Drizos · Chief Compliance Officersince 04/2013 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lakewood Ranch, Fl | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lakewood Ranch, FL8 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 522 to 644Mar 12, 2025 to Mar 4, 2026
- HNW clients · 66 to 71Mar 12, 2025 to Mar 4, 2026
- Individual clients · 442 to 496Mar 12, 2025 to Mar 4, 2026
- Pension plan clients · 14 to 15Mar 12, 2025 to Mar 4, 2026
- Discretionary RAUM · $214M to $231MMar 12, 2025 to Mar 4, 2026
- HNW RAUM · $140M to $152MMar 12, 2025 to Mar 4, 2026
- Individual RAUM · $71.3M to $77.6MMar 12, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $3.3M to $3.6MMar 12, 2025 to Mar 4, 2026
- Pension RAUM · $5.4M to $5.8MMar 12, 2025 to Mar 4, 2026
- RAUM · $217M to $235MMar 12, 2025 to Mar 4, 2026
- Accounts · 502 to 522Feb 26, 2024 to Mar 12, 2025
- Advisory employees · 7 to 6Feb 26, 2024 to Mar 12, 2025
- HNW clients · 63 to 66Feb 26, 2024 to Mar 12, 2025
- Individual clients · 427 to 442Feb 26, 2024 to Mar 12, 2025
- Pension plan clients · 12 to 14Feb 26, 2024 to Mar 12, 2025
- Employees · 8 to 7Feb 26, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Feb 26, 2024 to Mar 12, 2025
- HQ city · unset to Feb 26, 2024 to Mar 12, 2025
- HQ state · unset to Feb 26, 2024 to Mar 12, 2025
- State-registered IARs · 7 to 6Feb 26, 2024 to Mar 12, 2025
- Discretionary RAUM · $185M to $214MFeb 26, 2024 to Mar 12, 2025
- HNW RAUM · $118M to $140MFeb 26, 2024 to Mar 12, 2025
- Individual RAUM · $66.1M to $71.3MFeb 26, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $3.0M to $3.3MFeb 26, 2024 to Mar 12, 2025
- Pension RAUM · $3.1M to $5.4MFeb 26, 2024 to Mar 12, 2025
- RAUM · $188M to $217MFeb 26, 2024 to Mar 12, 2025
- Accounts · 476 to 502Feb 14, 2023 to Feb 26, 2024
- HNW clients · 59 to 63Feb 14, 2023 to Feb 26, 2024
- Individual clients · 406 to 427Feb 14, 2023 to Feb 26, 2024
- Pension plan clients · 11 to 12Feb 14, 2023 to Feb 26, 2024
- Discretionary RAUM · $176M to $185MFeb 14, 2023 to Feb 26, 2024
- HNW RAUM · $113M to $118MFeb 14, 2023 to Feb 26, 2024
- Individual RAUM · $63.2M to $66.1MFeb 14, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $2.8M to $3.0MFeb 14, 2023 to Feb 26, 2024
- Pension RAUM · $2.4M to $3.1MFeb 14, 2023 to Feb 26, 2024
- RAUM · $179M to $188MFeb 14, 2023 to Feb 26, 2024
- Accounts · 441 to 476Feb 16, 2022 to Feb 14, 2023
- HNW clients · 53 to 59Feb 16, 2022 to Feb 14, 2023
- Individual clients · 379 to 406Feb 16, 2022 to Feb 14, 2023
- Pension plan clients · 9 to 11Feb 16, 2022 to Feb 14, 2023
Signals
1 dated events
- Horizon Wealth Advisors filed its initial SEC registration (Form ADV)Jun 9, 2015 · First SEC registration · fact
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
- Business phone
- 941-362-0161reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- HORIZONWEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 941-362-0161reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- horizonwealthadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- horizonwealthadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $39.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026