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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H•••••• T••••••••• F••••••
Legal name H•••••• T••••••••• F•••••• M••••••••• L••
Latest filing Jun 12, 2026
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Mar 11, 2010
RAUM
$811M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$811M as of Jun 12, 2026
Mar 29, 2012$199M then
HNW client RAUM$0 as of Jun 12, 2026
Mar 29, 2024$0 then
State-registered IARs (5.B.3)0 as of Jun 12, 2026
Mar 29, 20120 then
Employees (5.A)23 as of Jun 12, 2026
Mar 20, 201319 then
Private funds: no history
RAUM +2.0% over the last fiscal year-6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $811MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• G•••••• A••••• · Presidentcontrolsince 03/2008 · owns less than 5%
- P••••••• R•••••• D••••• · Chief Executive Officercontrolsince 03/2008 · owns less than 5%
- K•••••• T•••••••• L••• · Sole Managing Membercontrolsince 02/2007 · owns F of M••••• M••••••••• H•••••• L••
- K•••••• T•••••••• L••• · Trusteecontrolsince 02/2007 · owns F of M••• T••••
- B••••••• J•••• C••••• · Executive Vice President, General Counsel, Chief Compliance Officer And Secretarysince 03/2008 · owns less than 5%
- D••••••••• D•••••• S•••• · Executive Vice President, Chief Operating Officer And Chief Investment Officersince 06/2021 · owns less than 5%
- D••••••••• L•••• D••••• M••••• · Chief Accounting Officersince 02/2023 · owns less than 5%
- E••••• D••••• C•••• · Senior Vice President And Chief Credit Officersince 01/2020 · owns less than 5%
- T•••••• D•••••• R••••••• · Executive Vice President, Chief Financial Officer And Treasurersince 01/2017 · owns less than 5%
Entity owners
- M•• H••••• L•• · Sole Memberdirect · owns 75% or more
- M••••• C•••••• I••••••••• H•••••••• L••• · Sole Managing Memberindirect · owns 75% or more of M•• H••••• L••
- M••••• M••••••••• H•••••• L•• · General Partnerindirect · owns 75% or more of M••••• C•••••• I••••••••• H•••••••• L•••
- M••• T•••• · Memberindirect · owns 25% to 50% of M••••• M••••••••• H•••••• L••
Related persons
Schedule D 7.A
- M••••• ••• U••• P•••••• D••• F••• G• L•••pooled vehicle sponsorn
- M••••• C•••••• B•• A•••••••• L••investment adviserbanknRAUM $6.7B
- M••••• C•••••• C•• M•••••• I• L••investment adviserpooled vehicle sponsorn
- M••••• C•••••• C•• M•••••• L••investment adviserpooled vehicle sponsorn
- M••••• C•••••• F••• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• M••••••••• A••••••• L••investment adviserbankpooled vehicle sponsornRAUM $19B
- M••••• C•••••• M••••••••• L••investment advisern
- M••••• C•••••• O••••••••• P•••••• C••••• F••• L••pooled vehicle sponsorn
- M••••• C•••••• O••••••••• P•••••• C••••• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• P••••••• F••• A•••••••• I••investment advisern
- M••••• C•••••• P••••••• F••• I• A•••••••• I••investment advisern
- M••••• C•••••• P••••••• F••• I•• L••pooled vehicle sponsorn
- M••••• C•••••• P••••••• F•••• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• 5•• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I•• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I•• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• I• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• K••• G•• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• L• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• V• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• F••• V• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• S•••• F••• G• L••pooled vehicle sponsorn
- M••••• C•••••• P•••••• C••••• V••••••••• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• P•••••• F••• I• G• S•• R•••pooled vehicle sponsorn
- M••••• C•••••• P•••••• F••• V• G• S•••••••pooled vehicle sponsorn
- M••••• P•••••• C••••• F••• A• L••pooled vehicle sponsorn
Advisers that list H•••••• T••••••••• F•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Pleasanton, CA6 employees
What changed
consecutive filings, newest first
- Advisory employees · 21 to 14Dec 10, 2025 to Mar 30, 2026
- Employees · 32 to 23Dec 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $795M to $811MDec 10, 2025 to Mar 30, 2026
- RAUM · $795M to $811MDec 10, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 16, 2025 to Jul 30, 2025
- Employees · 33 to 32Mar 29, 2024 to Apr 29, 2025
- Discretionary RAUM · $802M to $795MMar 29, 2024 to Apr 29, 2025
- RAUM · $802M to $795MMar 29, 2024 to Apr 29, 2025
- Advisory employees · 20 to 21Feb 1, 2024 to Mar 29, 2024
- Charity clients · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Corporate clients · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- HNW clients · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Individual clients · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Pension plan clients · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Pooled vehicle clients · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Employees · 32 to 33Feb 1, 2024 to Mar 29, 2024
- Discretionary RAUM · $797M to $802MFeb 1, 2024 to Mar 29, 2024
- HNW RAUM · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Individual RAUM · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Pension RAUM · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · unset to 0.0Feb 1, 2024 to Mar 29, 2024
- RAUM · $797M to $802MFeb 1, 2024 to Mar 29, 2024
- Accounts · 2 to 1Sep 14, 2023 to Feb 1, 2024
- Advisory activities · 2 to 1Sep 14, 2023 to Feb 1, 2024
- Pooled vehicle clients · 1.0 to unsetSep 14, 2023 to Feb 1, 2024
- Discretionary RAUM · $767M to $797MSep 14, 2023 to Feb 1, 2024
- Non-discretionary RAUM · $235M to $0Sep 14, 2023 to Feb 1, 2024
- Pooled vehicle RAUM · 234536000.0 to unsetSep 14, 2023 to Feb 1, 2024
- RAUM · $1.0B to $797MSep 14, 2023 to Feb 1, 2024
- Related adviser · false to trueMar 29, 2023 to Sep 14, 2023
- Related bank · false to trueMar 29, 2023 to Sep 14, 2023
- Advisory employees · 17 to 20Mar 14, 2022 to Mar 29, 2023
- Employees · 28 to 32Mar 14, 2022 to Mar 29, 2023
- Discretionary RAUM · $514M to $767MMar 14, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $131M to $235MMar 14, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $131M to $235MMar 14, 2022 to Mar 29, 2023
- RAUM · $645M to $1.0BMar 14, 2022 to Mar 29, 2023
- Advisory employees · 16 to 17Mar 31, 2021 to Mar 14, 2022
- Employees · 26 to 28Mar 31, 2021 to Mar 14, 2022
- Discretionary RAUM · $407M to $514MMar 31, 2021 to Mar 14, 2022
Signals
6 dated events
- Leon Theodore Koenig (Trustee) appeared on Schedule A of H•••••• T••••••••• F••••••Sep 14, 2023 · Control person joined · fact
- H•••••• T••••••••• F•••••• reported RAUM $1.0B, up 55% from $645.2M (2022-03-14 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- H•••••• T••••••••• F•••••• reported RAUM $645.2M, up 50% from $429.5M (2021-03-31 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- H•••••• T••••••••• F•••••• reported RAUM $429.5M, up 35% from $319.0M (2020-02-24 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- J Elias Sabo (Elected Manager, Class A Member) no longer on Schedule A of H•••••• T••••••••• F•••••• (listed 2018-03-23, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Alan Offenberg (Elected Manager, Class A Member) no longer on Schedule A of H•••••• T••••••••• F•••••• (listed 2018-03-23, absent 2019-03-29)Mar 29, 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-technology-finance-corporation/reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-676-8654reportedpublic record, Form ADV, Jun 12, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026